Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 33, Issue 21
-- May 28, 2010 --


Table of Contents


Chapter 1 Notices / News Releases 4739
1.1 Notices 4739
1.1.1 Current Proceedings Before The Ontario Securities Commission 4739
1.1.2 CSA/IIROC Joint Staff Notice 23-308 - Update on Forum to Discuss CSA/IIROC Joint Consultation Paper 23-404 "Dark Pools, Dark Orders and Other Developments in Market Structure in Canada" and Next Steps 4747
1.2 Notices of Hearing 4758
1.2.1 Paul Donald - ss. 127, 127.1 4758
1.3 News Releases 4763
1.3.1 Securities Regulators Help Young Canadians Increase Financial Literacy with the "Financial Fitness Challenge" 4763
1.3.2 CSA and IIROC Publish Update of Regulatory Issues and Next Steps to Address Developments in Market Structure in Canada 4765
1.4 Notices from the Office of the Secretary 4767
1.4.1 Paul Donald 4767
1.4.2 Nelson Financial Group Ltd. et al. 4767
1.4.3 Wilton J. Neale et al. 4768
1.4.4 Albert Leslie James et al. 4768
1.4.5 Carlton Ivanhoe Lewis et al. 4769
1.4.6 Chartcandle Investments Corporation et al. 4769
1.4.7 Andrew Keith Lech 4770
Chapter 2 Decisions, Orders and Rulings 4771
2.1 Decisions 4771
2.1.1 Kulczyk Oil Ventures Inc. 4771
2.1.2 BMO Investments Inc. et al. 4774
2.1.3 Intergold Ltd. - s. 1(10) 4778
2.1.4 Nexx Systems, Inc. 4779
2.1.5 Towers Watson & Co. 4781
2.1.6 Tricon Capital Group Inc. 4785
2.2 Orders 4787
2.2.1 Wilton J. Neale et al. - ss. 127(1), 127(8) 4787
2.2.2 Albert Leslie James et al. - ss. 127(1), 127(8) 4788
2.2.3 Carlton Ivanhoe Lewis et al. - ss. 127(1), 127(8) 4789
2.2.4 Canadian National Railway Company - s. 104(2)(c) 4790
2.2.5 Chartcandle Investments Corporation et al. 4792
2.2.6 Andrew Keith Lech - ss. 127(1), 127(10) 4793
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 4795
3.1 OSC Decisions, Orders and Rulings 4795
3.1.1 Andrew Keith Lech - s. 127 4795
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 4805
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4805
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4805
4.2.2 Outstanding Management & Insider Cease Trading Orders 4805
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 4807
Chapter 8 Notice of Exempt Financings 4909
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 4909
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4915
Chapter 12 Registrations 4919
12.1.1 Registrants 4919
Chapter 13 SROs, Marketplaces, and Clearing Agencies 4921
13.1 SROs 4921
13.1.1 IIROC Rules Notice - Request for Comments - Proposed Rule on Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 4921
13.2 Marketplaces (nil)
13.3 Clearing Agencies 4929
13.3.1 CDS Notice and Request for Comments - Material Amendments to CDS Procedures - TRAX 4929
13.3.2 CDS Notice of Effective Date - Technical Amendments to CDS Procedures - WR 1346 - New York Link collateral requirement alert 4980
13.3.3 CDS Notice of Effective Date - Technical Amendments to CDS Procedures - WR 1185 - Add security value to Deposit & Withdrawal reports 4982
13.3.4 CDS Notice of Effective Date - Technical Amendments to CDS Procedures - WR 1354 - Matched Trade Deletion Facility 4984
13.3.5 CDS Notice of Effective Date - Technical Amendments to CDS Procedures - WR 1085 - Payment Matching for Transfer Agents 4986
Chapter 25 Other Information 4989
25.1 Permissions 4989
25.1.1 Jupiter Investment Management Holdings Limited - s. 38(3) 4989
Index 4991