Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 33, Issue 13
-- April 2, 2010 --


Table of Contents


Chapter 1 Notices / News Releases 2765
1.1 Notices 2765
1.1.1 Current Proceedings Before The Ontario Securities Commission 2765
1.1.2 Notice of Ministerial Approval of Amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees 2772
1.1.3 CSA Staff Notice 31-316 - Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments 2773
1.2 Notices of Hearing 2776
1.2.1 Robert Joseph Vanier (a.k.a. Carl Joseph Gagnon) - ss. 127, 127.1 2776
1.3 News Releases 2780
1.3.1 OSC to Study Recommendations of Legislative Standing Committee 2780
1.4 Notices from the Office of the Secretary 2780
1.4.1 Carlton Ivanhoe Lewis et al. 2780
1.4.2 Albert Leslie James et al. 2781
1.4.3 Wilton J. Neale et al. 2781
1.4.4 Robert Joseph Vanier (a.k.a. Carl Joseph Gagnon) 2782
Chapter 2 Decisions, Orders and Rulings 2783
2.1 Decisions 2783
2.1.1 GeoPetro Resources Company 2783
2.1.2 BPO Properties Ltd. 2786
2.1.3 O'Leary Canadian Equity Yield Fund et al. 2789
2.1.4 Global Maxfin Investments Inc. 2793
2.1.5 NAL Oil & Gas Trust and Canaccord Capital Corporation 2795
2.1.6 Sprott Asset Management LP and Sprott Physical Gold Trust 2800
2.1.7 Pathfinder Convertible Debenture Fund 2804
2.1.8 Xenos Group Inc. - s. 1(10) 2807
2.1.9 Mavrix Fund Management Inc. - s. 1(10) 2808
2.1.10 Manulife Financial Corporation et al. 2809
2.1.11 Enerflex Systems Income Fund - s. 1(10) 2814
2.1.12 Goodman & Company, Investment Counsel Ltd. et al. 2815
2.1.13 Goodman & Company, Investment Counsel Ltd. et al. 2819
2.2 Orders 2823
2.2.1 Carber Capital Corp. - s. 144 2823
2.2.2 Carlton Ivanhoe Lewis et al. - ss. 127(1), 127(8) 2826
2.2.3 Albert Leslie James et al. - ss. 127(1), 127(8) 2828
2.2.4 Wilton J. Neale et al. - ss. 127(1), 127(8) 2830
2.2.5 TSX Inc. – s. 15.1 of NI 21-101 Marketplace Operation and s. 6.1 of OSC Rule 13-502 Fees 2832
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 2835
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2835
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2835
4.2.2 Outstanding Management & Insider Cease Trading Orders 2835
Chapter 5 Rules and Policies 2837
5.1.1 Amendments to OSC Rule 13-502 Fees 2837
5.1.2 Amendments to Companion Policy 13-502CP Fees 2851
5.1.3 Amendments to OSC Rule 13-503 (Commodity Futures Act) Fees 2851
5.1.4 Amendments to Companion Policy 13-503CP (Commodity Futures Act) Fees 2860
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 2861
Chapter 8 Notice of Exempt Financings 2977
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 2977
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2985
Chapter 12 Registrations 2991
12.1.1 Registrants 2991
Chapter 13 SROs, Marketplaces, and Clearing Agencies 2703
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
Chapter 25 Other Information 2993
25.1 Permissions 2993
25.1.1 EnQuest PLC - s. 38(3) 2993
Index 2995