Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 13
-- April 1, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 3713
1.1 Notices 3713
1.1.1 Current Proceedings Before The Ontario Securities Commission 3713
1.1.2 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments 3722
1.1.3 OSC Staff Notice 41-702 – Prospectus Practice Directive #1 – Personal information forms and other procedural matters regarding preliminary prospectus filings 3725
1.1.4 OSC Staff Notice 41-703 – Corporate Finance Prospectus Practice Directive #2 – Exemption from certain prospectus requirements to be evidenced by a receipt 3727
1.2 Notices of Hearing 3729
1.2.1 QuantFX Asset Management Inc. et al. – ss. 37, 127 3729
1.2.2 Innovative Gifting Inc. et al. – ss. 127(1), 127.1 3729
1.2.3 Bernard Boily – ss. 127, 127.1 3730
1.2.4 Marlon Gary Hibbert et al. – ss. 127(7), 127.1 3736
1.3 News Releases 3740
1.3.1 CSA, IIROC and MFDA launch expanded Disciplined List 3740
1.3.2 Canadian Securities Regulators Propose Enhanced Oversight of Securitized Products 3742
1.4 Notices from the Office of the Secretary 3743
1.4.1 QuantFX Asset Management Inc. et al. 3743
1.4.2 North American Financial Group Inc. et al. 3743
1.4.3 Rezwealth Financial Services Inc. et al. 3744
1.4.4 L. Jeffrey Pogachar et al. 3744
1.4.5 Innovative Gifting Inc. et al. 3745
1.4.6 Bernard Boily 3745
1.4.7 Simply Wealth Financial Group Inc. et al. 3746
1.4.8 Innovative Gifting Inc. et al. 3746
1.4.9 Marlon Gary Hibbert et al. 3747
Chapter 2 Decisions, Orders and Rulings 3749
2.1 Decisions 3749
2.1.1 Schneider Electric S.A. 3749
2.1.2 Pareto Corporation – s. 1(10) 3755
2.1.3 CI Investments Inc. 3755
2.1.4 Uranium One Inc. 3759
2.1.5 Star Hedge Managers Corp. II 3764
2.1.6 RBC Global Asset Management Inc. 3766
2.1.7 Goodman & Company, Investment Counsel Ltd. 3770
2.1.8 Premium Income Corporation et al. 3776
2.1.9 Bank of Montreal et al. – s. 5.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions 3780
2.2 Orders 3784
2.2.1 Intact Financial Corporation – s. 104(2)(c) 3784
2.2.2 North American Financial Group Inc. et al. – ss. 127(7), 127(8) 3786
2.2.3 Canadian Derivatives Clearing Corporation – s. 147 3788
2.2.4 Rezwealth Financial Services Inc. et al. – ss. 127(1), 127(7), 127(8) 3791
2.2.5 L. Jeffrey Pogachar et al. – s. 127 3792
2.2.6 Simply Wealth Financial Group Inc. et al. – s. 127 3793
2.2.7 Innovative Gifting Inc. et al. – s. 127(1) 3793
2.3 Rulings 3794
2.3.1 Gestion Placements Desjardins Inc. / Desjardins Investment Management Inc. – s. 74(1) 3794
Chapter 3 Reasons: Decisions, Orders and Rulings 3799
3.1 OSC Decisions, Orders and Rulings 3799
3.1.1 Innovative Gifting Inc. et al. 3799
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 3809
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3809
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3809
4.2.2 Outstanding Management & Insider Cease Trading Orders 3809
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments 3811
6.1.1 Proposed NI 41-103 Supplementary Prospectus Disclosure Requirements for Securitized Products, Proposed NI 51-106 Continuous Disclosure Requirements for Securitized Products, Proposed Amendments to NI 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, Proposed Amendments to NI 45-106 Prospectus and Registration Exemptions and NI 45-102 Resale of Securities, and Proposed Consequential Amendments 3811
Chapter 7 Insider Reporting 3893
Chapter 8 Notice of Exempt Financings 4007
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 4007
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4015
Chapter 12 Registrations 4023
12.1.1 Registrants 4023
Chapter 13 SROs, Marketplaces, and Clearing Agencies (nil)
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 4025