Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 36, Issue 6
-- February 7, 2013 --


Table of Contents
Chapter 1 Notices / News Releases 1401
1.1 Notices 1401
1.1.1 Current Proceedings Before The Ontario Securities Commission 1401
1.1.2 CSA Staff Notice 31-333 – Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category 1409
1.1.3 Notice of Correction – DUSA Pharmaceuticals, Inc. – s. 1(10)(a)(ii) 1411
1.1.4 CSA Staff Notice 11-321 – Business Continuity Planning – Industry Testing Exercise 1412
1.2 Notices of Hearing 1413
1.2.1 Blackwood & Rose Inc. et al. 1413
1.2.2 Quadrexx Asset Management Inc. et al. – ss. 127(1), (2), (5) 1417
1.2.3 Western Wind Energy Corp. et al. – ss. 104, 127 1418
1.3 News Releases 1419
1.3.1 OSC Panel Issues Sanctions Against Paul Donald for Conduct Contrary to the Public Interest 1419
1.4 Notices from the Office of the Secretary 1419
1.4.1 Blackwood & Rose Inc. et al. 1419
1.4.2 Paul Donald 1420
1.4.3 Ground Wealth Inc. et al. 1420
1.4.4 Goldpoint Resources Corporation et al. 1421
1.4.5 Quadrexx Asset Management Inc. et al. 1421
1.4.6 Western Wind Energy Corp. et al. 1422
Chapter 2 Decisions, Orders and Rulings 1423
2.1 Decisions 1423
2.1.1 Shona Energy Company, Inc. 1423
2.1.2 OMERS Administration Corporation and OMERS Investment Management Inc. 1424
2.1.3 AUX Canada Acquisition 1430
2.1.4 Queenston Mining Inc. 1431
2.1.5 GCIC Ltd. and Scotia Asset Management L.P. 1432
2.1.6 Schneider Electric S.A. 1435
2.2 Orders 1440
2.2.1 Paul Donald – ss. 127,127.1 1440
2.2.2 Goldpoint Resources Corporation et al. – ss. 127, 127.1 1440
2.2.3 Ground Wealth Inc. et al. – ss. 127(1), (7),(8) 1442
2.2.4 iShares S&P Global Consumer Discretionary Index Fund and iShares S&P Global Industrials Index Fund. – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions 1444
2.3 Rulings 1445
2.3.1 OMERS Administration Corporation – s. 74(1) 1445
Chapter 3 Reasons: Decisions, Orders and Rulings 1449
3.1 OSC Decisions, Orders and Rulings 1449
3.1.1 Paul Donald – ss. 127, 127.1 1449
3.1.2 Fast Track Capital Inc. – s. 28 1461
3.1.3 Trafalgar Associates – s. 31 1462
3.1.4 Goldpoint Resources Corporation et al. – ss. 127, 127.1 1484
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 1479
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1479
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1479
4.2.2 Outstanding Management & Insider Cease Trading Orders 1479
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1481
Chapter 8 Notice of Exempt Financings 1553
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 1553
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1571
Chapter 12 Registrations 1581
12.1.1 Registrants 1581
Chapter 13 SROs, Marketplaces, and Clearing Agencies 1583
13.1 SROs 1583
13.1.1 OSC Staff Notice of Commission Approval – MFDA Amendments to MFDA Rule 2.2.1 and Policy No. 2 1583
13.1.2 IIROC Rules Notice – Request For Comment – Amendments to IFRS Version of Form 1 1601
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 1623