Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 16
-- April 22, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 4837
1.1 Notices 4837
1.1.1 Current Proceedings Before The Ontario Securities Commission 4837
1.1.2 Notice of Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) 4846
1.2 Notices of Hearing 4849
1.2.1 Nelson Financial Group Ltd. – ss. 127(1), 127.1 4849
1.3 News Releases 4850
1.3.1 Canadian Securities Regulators Take Steps to Reduce Risks Associated with Electronic Trading 4850
1.3.2 Canadian Securities Regulators Adopt New Version of Mining Rule 4852
1.3.3 Canadian Securities Regulators Update Registration Regime for Registrants 4853
1.4 Notices from the Office of the Secretary 4854
1.4.1 Nelson Financial Group Ltd. 4854
1.4.2 American Heritage Stock Transfer Inc. et al. 4854
1.4.3 Energy Syndications Inc. et al. 4855
1.4.4 Nelson Financial Group Ltd. et al. 4856
1.4.5 Paul Azeff et al. 4857
Chapter 2 Decisions, Orders and Rulings 4869
2.1 Decisions 4869
2.1.1 Estrella International Energy Services Ltd. 4869
2.1.2 NexGen Financial Limited Partnership et al. 4871
2.1.3 Mackenzie Financial Corporation et al. 4875
2.1.4 Sprott Asset Management L.P. and the Mutual Funds Listed in Schedule A 4881
2.1.5 GDG Environment Group Ltd – s. 1(10) 4885
2.1.6 PineBridge Investments Canada Inc. 4885
2.1.7 Pimco Canada Corp. 4887
2.1.8 I.G. Investment Management, Ltd. 4890
2.1.9 Farallon Mining Ltd. – s. 1(10) 4893
2.1.10 Lone Pine Resources Inc. 4894
2.1.11 Canadian Apartment Properties Real Estate Investment Trust 4898
2.1.12 Fiera Sceptre Inc. 4900
2.2 Orders 4902
2.2.1 Credit Suisse Asset Management, LLC – s. 80 of the CFA 4902
2.2.2 American Heritage Stock Transfer Inc. et al. – s. 127(7) 4905
2.2.3 Energy Syndications Inc. et al. – ss. 127(1), 127(8) 4906
2.2.4 Nelson Financial Group Ltd. et al. 4908
2.2.5 iShares S&P/TSX Equity Income Index Fund et al. – s. 1.1 4916
2.2.6 Rogers Communications Inc. – s. 104(2)(c) 4917
2.2.7 Rogers Communications Inc. – s. 104(2)(c) 4919
2.2.8 Rogers Communications Inc. – s. 104(2)(c) 4922
2.2.9 Metro inc. – s. 104(2)(c) 4924
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 4927
3.1 OSC Decisions, Orders and Rulings 4927
3.1.1 Jitendra Dalpat Mistry 4927
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 4931
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4931
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4931
4.2.2 Outstanding Management & Insider Cease Trading Orders 4931
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 4933
Chapter 8 Notice of Exempt Financings 5003
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 5003
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5005
Chapter 12 Registrations 5011
12.1.1 Registrants 5011
Chapter 13 SROs, Marketplaces, and Clearing Agencies 5013
13.1 SROs (nil)
13.2 Marketplaces 5013
13.2.1 OSC Staff Notice of Commission Approval – CNSX – Amendments to Policy 2 – Qualification for Listing 5013
13.3 Clearing Agencies 5016
13.3.1 OSC Staff Notice of Commission Approval – Material Amendments to CDS Procedures – Amendment to Debt Haircut Rates in CDSX 5016
Chapter 25 Other Information 5017
25.1 Approvals 5017
25.1.1 Rae & Lipskie Investment Counsel Inc. – s. 213(3)(b) of the LTCA 5017
Index 5019