IN THE MATTER OF THE SECURITIES ACT
R.S.O. 1990, c.S.5, as amended
IN THE MATTER OF EDA MARIE AGUECI, DENNIS WING, SANTO IACONO, JOSEPHINE RAPONI, KIMBERLEY STEPHANY, HENRY FIORILLO, GIUSEPPE (JOSEPH) FIORINI, JOHN SERPA, IAN TELFER, JACOB GORNITZKI and POLLEN SERVICES LIMITED
(Section 17 of the Securities Act)
- on July 18, 2011, the Ontario Securities Commission (the “Commission”) issued an Order pursuant to section 11 of the Securities Act, R.S.O. 1990, c.S.5, as amended (the “Act”) appointing certain members of Staff of the Commission (“Staff”) for the due administration of Ontario securities law and regulation of the capital markets in Ontario to investigate and inquire into matters relating to this matter (the “Section 11 Order”);
- Anthony Frizelle (“Frizelle”) was served a summons issued pursuant to section 13 of the Act dated October 6, 2011 to attend at the Commission for an examination;
- in response to the summons dated October 6, 2011, Frizelle attended at the Commission for an examination on October 18, 2011 to provide evidence to Staff ( the “Compelled Evidence”);
- the hearing of this matter has concluded, with reasons and a decision on the merits rendered February 11, 2015, and reasons and a decision on sanctions and costs rendered June 24, 2015;
- Frizelle has advised the Commission that he intends to bring a petition in British Columbia seeking indemnification from Nu Energy Uranium Corporation and Mega Uranium Ltd. in relation to the legal costs incurred in connection with the Compelled Evidence (the “Petition”);
- in the context of the Petition, Frizelle has advised the Commission that he needs to disclose that he was served a summons by Staff, that he did attend for an examination after being served with the summons and answered certain undertakings thereafter but does not anticipate that he will need to disclose the nature of any questions asked of him or any responses given on the examination;
- the Commission considers it to be in the public interest to make this order; and
- by Authorization Order dated August 21, 2015, pursuant to subsection 3.5(3) of the Act, each of Howard Wetston, Monica Kowal, D. Grant Vingoe, Mary G. Condon, Edward P. Kerwin, Janet Leiper, Alan J. Lenczner, Timothy Moseley and Christopher Portner acting alone, is authorized to exercise, subject to subsection 3.5(4) of the Act, the powers of the Commission to make orders under section 17 of the Act.
IT IS HEREBY ORDERED that pursuant to subsection 17(1) of the Act, Frizelle may disclose, for the purpose of the Petition, that he was served with a summons by Staff, that he attended for an examination on October 18, 2011 after being served with a summons and that he provided documents and other information in response to the undertakings given during the course of the examination.
DATED at Toronto this 10th day of September, 2015.
Edward P. Kerwin