Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 22
-- June 3, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 6311
1.1 Notices 6311
1.1.1 Current Proceedings Before The Ontario Securities Commission 6311
1.1.2 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) 6319
1.2 Notices of Hearing 6319
1.2.1 Nelson Financial Group Ltd. et al. – s. 127(1) 6319
1.3 News Releases 6320
1.3.1 OSC Panel Releases Decision Against Sulja Bros. Building Supplies, Ltd., Kore International Management Inc. and Andrew DeVries for Breaches of Ontario Securities Act 6320
1.3.2 OSC Requests Members for New Investment Fund Products Advisory Committee 6321
1.3.3 Canadian Securities Regulators Issue Guidance in the Event of the Disruption of Mail Service 6322
1.4 Notices from the Office of the Secretary 6323
1.4.1 Sulja Bros. Building Supplies, Ltd. et al. 6323
1.4.2 Global Consulting and Financial Services et al. 6323
1.4.3 Caldwell Investment Management Ltd. 6324
1.4.4 Hector Wong 6324
1.4.5 Nelson Financial Group Ltd. et al. 6325
1.4.6 CI Financial Corp. 6325
1.4.7 Nelson Financial Group Ltd. et al. 6326
1.4.8 David M. O’Brien 6326
1.4.9 Nelson Financial Group Ltd. et al. 6327
1.4.10 Goldpoint Resources Corporation et al. 6327
1.4.11 Paul Azeff et al. 6328
1.4.12 Simply Wealth Financial Group Inc. et al. 6328
Chapter 2 Decisions, Orders and Rulings 6329
2.1 Decisions 6329
2.1.1 NuLoch Resources Inc. – s. 1(10) 6329
2.1.2 IPC Investment Corporation and Partners in Planning Financial Services Ltd. 6330
2.1.3 Genworth MI Canada Inc. 6332
2.1.4 Northwest Healthcare Properties Real Estate Investment Trust 6336
2.2 Orders 6338
2.2.1 Global Consulting and Financial Services et al. – ss. 127(1), 127(8) 6338
2.2.2 Caldwell Investment Management Ltd. – ss. 127(1), 127.1 6340
2.2.3 CI Financial Corp. – ss. 8.3, 21.7 6341
2.2.4 Nelson Financial Group Ltd. et al. 6342
2.2.5 Paul Azeff et al. 6343
2.2.6 Simply Wealth Financial Group Inc. et al. – s. 127 6344
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6345
3.1 OSC Decisions, Orders and Rulings 6345
3.1.1 Riccardo Alberto DiPronio –s. 26(3) 6345
3.1.2 Richard Derek Frost and RDF Capital Management Inc. – s. 26(3) 6349
3.1.3 Alfredo Pino – s. 27(3) 6353
3.1.4 Sulja Bros. Building Supplies, Ltd. et al. 6356
3.1.5 Caldwell Investment Management Ltd. 6369
3.1.6 Nelson Financial Group Ltd. et al. 6375
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 6381
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6381
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6381
4.2.2 Outstanding Management & Insider Cease Trading Orders 6381
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6383
Chapter 8 Notice of Exempt Financings 6439
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 6439
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6445
Chapter 12 Registrations 6461
12.1.1 Registrants 6461
Chapter 13 SROs, Marketplaces, and Clearing Agencies 6463
13.1 SROs (nil)
13.2 Marketplaces 6463
13.2.1 TMX Select Inc. – Notice of Completion of Staff Review – TMX Select Initial Operations Report 6463
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 6467