Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 27
-- July 3, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 6233
1.1 Notices 6233
1.1.1 CSA Staff Notice 21-313 – Information Processor for Exchange-Traded Securities other than Options 6233
1.1.2 CSA Staff Notice 21-314 – Information Processor for Corporate Debt Securities 6240
1.1.3 Application for Recognition of Aequitas Innovations Inc. and Aequitas Neo Exchange Inc. as an Exchange 6246
1.1.4 Notice of Ministerial Approval of Amendments to Ontario Securities Commission Rule 91-507 Trade Repositories and Derivatives Data Reporting 6247
1.1.5 Notice of Commission Approval – Amended List of Exchanges, Lead Regulators and Exempting Regulators 6248
1.1.6 OSC Staff Notice 23-703 – Order Protection Rule – Industry Roundtable 6251
1.2 Notices of Hearing (nil)
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 6252
1.4.1 Sino-Forest Corporation et al. 6252
1.4.2 Portfolio Capital Inc. et al. 6252
1.4.3 Powerwater Systems, Inc. et al. 6253
1.4.4 Capital Markets Technologies, Inc. 6253
1.4.5 Bluestream Capital Corporation et al. 6254
1.4.6 2196768 Ontario Ltd carrying on business as RARE Investments et al. 6254
Chapter 2 Decisions, Orders and Rulings 6255
2.1 Decisions 6255
2.1.1 Toreigh Stuart et al. 6255
2.1.2 Canada Fluorspar Inc. – s. 1(10)(a)(ii) 6261
2.1.3 Tarku Resources Ltd. (formerly Clear Creek Resources Ltd.) – s. 1(10)(a)(ii) 6262
2.1.4 IBV Capital Ltd. and IBV Capital Global Value Canadian Feeder LP 6263
2.2 Orders 6269
2.2.1 Sino-Forest Corporation et al. 6269
2.2.2 Portfolio Capital Inc. et al. 6274
2.2.3 Powerwater Systems, Inc. et al. – ss. 127(1), 127(10) 6277
2.2.4 Capital Markets Technologies, Inc. – ss. 127(1), 127(10) 6278
2.2.5 Bluestream Capital Corporation et al. – s. 127 6279
2.2.6 2196768 Ontario Ltd carrying on business as RARE Investments et al. – ss. 127, 127(1) 6279
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6281
3.1 OSC Decisions, Orders and Rulings 6281
3.1.1 2196768 Ontario Ltd carrying on business as RARE Investments et al. – s. 127 6281
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 6311
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6311
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6311
4.2.2 Outstanding Management & Insider Cease Trading Orders 6311
Chapter 5 Rules and Policies 6313
5.1.1. Amendments to Ontario Securities Commission Rule 91-507 Trade Repositories and Derivatives Data Reporting 6313
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6315
Chapter 8 Notice of Exempt Financings 6387
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 6387
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6389
Chapter 12 Registrations 6399
12.1.1 Registrants 6399
Chapter 13 SROs, Marketplaces, and Clearing Agencies 6401
13.1 SROs 6401
13.1.1 OSC Staff Notice of Approval – MFDA Amendments to MFDA By-law No.1 and Articles of Continuance 6401
13.2 Marketplaces 6402
13.2.1 Application for Recognition of Aequitas Innovations Inc and Aequitas Neo Exchange Inc. as an Exchange – Notice and Request for Comment 6402
13.3 Clearing Agencies (nil)
Chapter 25 Other Information 6467
25.1 Consents 6467
25.1.1 Pan African Oil Ltd. – s. 4(b) of the Regulation 6467
Index 6469