Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 33, Issue 17
-- April 30, 2010 --


Table of Contents


Chapter 1 Notices / News Releases 3901
1.1 Notices 3901
1.1.1 Current Proceedings Before The Ontario Securities Commission 3901
1.1.2 Notice of Correction - Roger D. Rowan et al. 3908
1.1.3 Notice of Rescission of Commission Approval - Amendments to MFDA Rule 1.1.7 - Business Names, Styles, Etc. 3908
1.1.4 Notice of Commission Approval - Material Amendments to CDS Procedures - New York Link (NYL) Service 3909
1.1.5 Notice of Commission Approval - Material Amendments to CDS Procedures - Automated Confirmation Transaction (ACT) Service 3909
1.1.6 CSA Staff Notice 55-315 - Frequently Asked Questions about National Instrument 55-104 Insider Reporting Requirements and Exemptions 3910
1.2 Notices of Hearing 3917
1.2.1 Ciccone Group et al. - ss. 127(7), 127(8) 3917
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 3918
1.4.1 IBK Capital Corp. and William F. White 3918
1.4.2 Coventree Inc. et al. 3918
1.4.3 Maple Leaf Investment Fund Corp. et al. 3919
1.4.4 Tulsiani Investments Inc. and Sunil Tulsiani 3919
1.4.5 Maple Leaf Investment Fund Corp. et al. 3920
1.4.6 Ciccone Group et al. 3920
1.4.7 Coventree Inc. et al. 3921
1.4.8 QuantFX Asset Management Inc. et al. 3921
1.4.9 Agoracom Investor Relations Corp. et al. 3922
1.4.10 Investment Industry Regulatory Organization of Canada v. Julius Caesar Phillip Vitug 3922
1.4.11 Chartcandle Investments Corporation et al. 3923
1.4.12 Hillcorp International Services et al. 3923
Chapter 2 Decisions, Orders and Rulings 3925
2.1 Decisions 3925
2.1.1 Result Energy Inc. - s. 1(10) 3925
2.1.2 First National Financial Income Fund et al. 3926
2.1.3 Vena Resources Inc. et al. 3932
2.1.4 Shermag Inc. 3938
2.1.5 Mackenzie Financial Corporation and Mackenzie Focus America Class 3940
2.1.6 Manufacturers Investment Corporation - s. 1(10) 3943
2.1.7 Canaccord Financial Inc. 3944
2.2 Orders 3950
2.2.1 Shermag Inc. - s. 144 3950
2.2.2 IBK Capital Corp. and William F. White - ss. 127, 127.1 3953
2.2.3 Coventree Inc. et al. - s. 127 3953
2.2.4 Maple Leaf Investment Fund Corp. et al. - s. 127(8) 3954
2.2.5 Tulsiani Investments Inc. and Sunil Tulsiani - ss. 127(1), 127(8) 3955
2.2.6 Maple Leaf Investment Fund Corp. et al. 3956
2.2.7 Ciccone Group et al. - ss. 127(1), 127(5) 3956
2.2.8 Research Affiliates, LLC - s. 147 3958
2.2.9 Coventree Inc. et al. - s. 127 3959
2.2.10 QuantFX Asset Management Inc. et al. - ss. 127(7), 127(8) 3960
2.2.11 Agoracom Investor Relations Corp. et al. 3961
2.2.12 Chartcandle Investments Corporation et al. - ss. 127, 127.1 3962
2.2.13 Hillcorp International Services et al. 3964
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 3965
3.1 OSC Decisions, Orders and Rulings 3965
3.1.1 Investment Industry Regulatory Organization of Canada v. Julius Caesar Phillip Vitug 3965
3.1.2 Chartcandle Investments Corporation et al. 3979
3.1.3 Hillcorp International Services et al. 3986
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 3989
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3989
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3989
4.2.2 Outstanding Management & Insider Cease Trading Orders 3989
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 3991
Chapter 8 Notice of Exempt Financings 4055
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 4055
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4059
Chapter 12 Registrations 4069
12.1.1 Registrants 4069
Chapter 13 SROs, Marketplaces, and Clearing Agencies 4071
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 4071
13.3.1 CDS Rule Amendment Notice - Technical Amendments to CDS Procedures - CDS Network Managed Services Implementation - Notice of Effective Date 4071
13.3.2 CDS Rule Amendment Notice - Technical Amendments to CDS Procedures - Housekeeping Items - Notice of Effective Date 4073
Chapter 25 Other Information 4075
25.1 Exemptions 4075
25.1.1 BetaPro Management Inc. et al. - s. 19.1 of NI 41-101 General Prospectus Requirements 4075
Index 4077