Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 36, Issue 4
-- January 24, 2013 --


Table of Contents


Chapter 1 Notices / News Releases 1017
1.1 Notices 1017
1.1.1 Current Proceedings Before The Ontario Securities Commission 1017
1.1.2 OSC Staff Notice 81-718 – Summary Report for Investment Fund Issuers 1025
1.1.3 OSC Staff Notice 45-711 – Extension of Consultation Period – OSC Staff Consultation Paper 45-710 Considerations for New Capital Raising Prospectus Exemptions 1027
1.2 Notices of Hearing 1028
1.2.1 Matthew Robert White and White Capital Corporation – s. 8(4) 1028
1.2.2 Sage Investment Group et al. 1028
1.3 News Releases 1029
1.3.1 Superior Court of Justice Allows the Ontario Securities Commission’s Sentence Appeal in the Matter of Abel Da Silva 1029
1.3.2 Court Dismisses Application by Andrew Rankin 1029
1.4 Notices from the Office of the Secretary 1030
1.4.1 Matthew Robert White and White Capital Corporation 1030
1.4.2 International Strategic Investments et al. 1030
1.4.3 Sage Investment Group et al. 1031
1.4.4 Jowdat Waheed and Bruce Walter 1031
1.4.5 Firestar Capital Management Corp. et al. 1032
1.4.6 Global Consulting and Financial Services et al. 1033
1.4.7 Paul Azeff et al. 1033
1.4.8 Bunting & Waddington Inc. et al. 1034
1.4.9 Global Energy Group, Ltd. et al. 1034
1.4.10 Matthew Robert White and White Capital Corporation 1035
1.4.11 Sandy Winick et al. 1035
1.4.12 Sage Investment Group et al. 1036
1.4.13 Sino-Forest Corporation et al. 1036
1.4.14 Oversea Chinese Fund Limited Partnership et al. 1037
1.4.15 Sino-Forest Corporation et al. 1037
Chapter 2 Decisions, Orders and Rulings 1039
2.1 Decisions 1039
2.1.1 Abbott Laboratories 1039
2.1.2 Progress Energy Canada Ltd. 1044
2.1.3 Prodigy Gold Inc. – s. 1(10) 1045
2.1.4 World Heart Corporation 1046
2.2 Orders 1048
2.2.1 Jowdat Waheed and Bruce Walter 1048
2.2.2 Jowdat Waheed and Bruce Walter 1049
2.2.3 International Strategic Investments et al. 1050
2.2.4 Firestar Capital Management Corp. et al. – ss. 127(1), 127(7), 127(8) 1051
2.2.5 Global Consulting and Financial Services et al. – ss. 127(1), 127(8) 1054
2.2.6 Paul Azeff et al. – Rule 6 of the OSC Rules of Procedure 1058
2.2.7 Bunting & Waddington Inc. et al. 1060
2.2.8 Global Energy Group, Ltd. et al. – ss. 37, 127, 127.1 1061
2.2.9 Matthew Robert White and White Capital Corporation– s. 8(4) 1063
2.2.10 Sandy Winick et al. 1065
2.2.11 Sino-Forest Corporation et al. 1066
2.2.12 Oversea Chinese Fund Limited Partnership et al. – ss. 127(7), 127(8) 1067
2.2.13 Sino-Forest Corporation et al. – ss. 127(7), 127(8) 1069
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 1071
3.1 OSC Decisions, Orders and Rulings 1071
3.1.1 Jowdat Waheed and Bruce Walter 1071
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 1079
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1079
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1079
4.2.2 Outstanding Management & Insider Cease Trading Orders 1079
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments 1081
6.1.1 Proposed Amendments Facilitating CSA Information Technology Arrangements 1081
Chapter 7 Insider Reporting 1099
Chapter 8 Notice of Exempt Financings 1175
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 1175
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1181
Chapter 12 Registrations 1185
12.1.1 Registrants 1185
Chapter 13 SROs, Marketplaces, and Clearing Agencies 1189
13.1 SROs (nil)
13.2 Marketplaces 1189
13.2.1 Alpha Exchange Inc. – Amendments to the Alpha Exchange Trading Policies – Notice of Proposed Changes and Request for Feedback 1189
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 1193