Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 14
-- April 8, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 4031
1.1 Notices 4031
1.1.1 Current Proceedings Before The Ontario Securities Commission 4031
1.2 Notices of Hearing 4039
1.2.1 Heir Home Equity Investment Rewards Inc. et al. 4039
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 4046
1.4.1 Uranium308 Resources Inc. et al. 4046
1.4.2 Oversea Chinese Fund Limited Partnership et al. 4046
1.4.3 David M. O’Brien 4047
1.4.4 Heir Home Equity Investment Rewards Inc. et al. 4047
1.4.5 Peter Sbaraglia 4048
1.4.6 Uranium308 Resources Inc. et al. 4048
1.4.7 QuantFX Asset Management Inc. et al. 4049
1.4.8 QuantFX Asset Management Inc. et al. 4049
1.4.9 York Rio Resources Inc. et al. 4050
Chapter 2 Decisions, Orders and Rulings 4051
2.1 Decisions 4051
2.1.1 Investors Government Bond Fund et al. 4051
2.1.2 CADO Investment Fund Management Inc. et al. 4054
2.1.3 Sun Gro Horticulture Inc. – s. 1(10) 4059
2.1.4 NexGen Financial Limited Partnership et al. 4060
2.1.5 Canadian Tire Corporation, Limited 4063
2.1.6 Compagnie de Saint-Gobain 4065
2.1.7 SXC Health Solutions Corp. 4070
2.1.8 Franco-Nevada Corporation et al. 4073
2.1.9 Potash One Inc. – s. 1(10) 4079
2.1.10 Goodman & Company, Investment Counsel Ltd. 4080
2.1.11 frontierAlt Funds Management Limited and frontierAlt Capital Corporation 4085
2.2 Orders 4087
2.2.1 Uranium308 Resources Inc. et al. – s. 127 4087
2.2.2 Seprotech Systems Incorporated – s. 144 4090
2.2.3 Oversea Chinese Fund Limited Partnership et al. – s. 127(7), 127(8) 4093
2.2.4 David M. O’Brien 4094
2.2.5 Peter Sbaraglia 4096
2.2.6 Uranium308 Resources Inc. et al. – ss. 9(2), 127 4097
2.2.7 QuantFX Asset Management Inc. et al. – ss. 37, 127(1) 4099
2.2.8 QuantFX Asset Management Inc. et al. – ss. 37, 127(1) 4100
2.2.9 NuWave Investment Management, LLC – s. 80 of the CFA 4102
2.2.10 TriAct Canada Marketplace LP – s. 15.1 of NI 21-101 Marketplace Operation and s. 6.1 of Rule 13-502 Fees 4105
2.2.11 TSX Inc. – s. 15.1 of NI 21-101 Marketplace Operation and s. 6.1 of Rule 13-502 Fees 4107
2.2.12 York Rio Resources Inc. et al. – s. 127 of the Act and Rule 3 of the OSC Rules of Practice 4109
2.2.13 Ra Resources Ltd. 4112
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 4115
3.1 OSC Decisions, Orders and Rulings 4115
3.1.1 QuantFX Asset Management Inc. et al. 4115
3.1.2 QuantFX Asset Management Inc. et al. 4123
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 4131
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4131
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4131
4.2.2 Outstanding Management & Insider Cease Trading Orders 4131
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments 4133
6.1.1 Proposed National Instrument 23-103 Electronic Trading and Direct Electronic Access to Marketplaces 4133
Chapter 7 Insider Reporting 4169
Chapter 8 Notice of Exempt Financings 4311
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 4311
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4317
Chapter 12 Registrations 4329
12.1.1 Registrants 4329
Chapter 13 SROs, Marketplaces, and Clearing Agencies 4331
13.1 SROs (nil)
13.2 Marketplaces 4331
13.2.1 Alpha ATS LP – Notice of Completion of Staff Review of Proposed Changes – Intraspread Facility 4331
13.3 Clearing Agencies 4337
13.3.1 CDS – Notice of Effective Date – Technical Amendments to CDS Procedures – Housekeeping Items 4337
13.3.2 Material Amendments to CDS Procedures – Change to Federally Guaranteed Class Code – Request for Comments 4339
Chapter 25 Other Information 4347
25.1 Consents 4347
25.1.1 Curis Resources Ltd. – s. 4(b) of the Regulation 4347
Index 4349