Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 15
-- April 15, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 4355
1.1 Notices 4355
1.1.1 Current Proceedings Before The Ontario Securities Commission 4355
1.1.2 CSA Staff Notice 52-328 – Disclosures About Accounting Policies in the Year of Changeover to International Financial Reporting Standards 4364
1.1.3 Application for Recognition of Alpha Trading Systems Limited Partnership and Alpha Exchange Inc. as an Exchange 4366
1.2 Notices of Hearing 4367
1.2.1 Energy Syndications Inc. et al. – ss. 127(7), 127(8) 4367
1.2.2 American Heritage Stock Transfer Inc. et al. – s. 127 4368
1.2.3 L.T.M.T. Trading Ltd. and Bernard Shaw – s. 127 4369
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 4371
1.4.1 Bernard Boily 4371
1.4.2 Energy Syndications Inc. et al. 4371
1.4.3 American Heritage Stock Transfer Inc. et al. 4372
1.4.4 Ameron Oil and Gas Ltd. et al. 4372
1.4.5 Anthony Ianno and Saverio Manzo 4373
1.4.6 L.T.M.T. Trading Ltd. and Bernard Shaw 4373
1.4.7 Paul Azeff et al. 4374
Chapter 2 Decisions, Orders and Rulings 4375
2.1 Decisions 4375
2.1.1 Pro-Financial Asset Management Inc. and the Pro Financial Mutual Funds 4375
2.1.2 Baffinland Iron Mines Corporation 4380
2.1.3 Daimler Canada Finance Inc. 4381
2.1.4 Penn West Petroleum Ltd. 4385
2.1.5 Lomiko Metals Inc. et al. 4389
2.1.6 Invesco Trimark Ltd. and Invesco Intactive Diversified Income Portfolio Class et al. 4396
2.2 Orders 4398
2.2.1 Energy Syndications Inc. et al. – ss. 127(1), 127(5) 4398
2.2.2 American Heritage Stock Transfer Inc. et al. – ss. 127(1), 127(5) 4399
2.2.3 Ameron Oil and Gas Ltd. et al. – ss. 127(7), 127(8) 4401
2.2.4 Anthony Ianno and Saverio Manzo 4403
2.2.5 First Choice Products Inc. – s. 144 4404
2.2.6 Paul Azeff et al. 4405
2.3 Rulings (nil)
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 4407
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4407
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4407
4.2.2 Outstanding Management & Insider Cease Trading Orders 4407
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 4409
Chapter 8 Notice of Exempt Financings 4537
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 4537
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4543
Chapter 12 Registrations 4553
12.1.1 Registrants 4553
Chapter 13 SROs, Marketplaces, and Clearing Agencies 4555
13.1 SROs (nil)
13.2 Marketplaces 4555
13.2.1 Application for Recognition of Alpha Trading Systems Limited Partnership and Alpha Exchange Inc. as an Exchange – Notice and Request for Comment 4555
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 4833