Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 36, Issue 9
-- February 28, 2013 --


Table of Contents
Chapter 1 Notices / News Releases 1963
1.1 Notices 1963
1.1.1 Current Proceedings Before The Ontario Securities Commission 1963
1.1.2 CSA 2012 Enforcement Report 1972
1.1.3 Livent Inc. et al. 1973
1.1.4 OSC Staff Notice 54-702 – Corporate Finance Guidance – Notice-and-access: Interaction with National Policy 11-201 Electronic Delivery of Documents and the Ontario Business Corporations Act 1975
1.1.5 CSA/IIROC Joint Notice 23-315 – Summary of Comments on CSA/IIROC Joint Notice 23-312 — Request for Comments — Transparency of Short Selling and Failed Trades 1978
1.2 Notices of Hearing 1983
1.2.1 HEIR Home Equity Investment Rewards Inc. et al – s. 127 1983
1.2.2 Garth A. Drabinsky et al. 1984
1.2.3 JV Raleigh Superior Holdings Inc. et al. – ss. 127(1), 127(10) 1990
1.3 News Releases 1995
1.3.1 CSA Regulators’ Enforcement Report Highlights Fraud 1995
1.4 Notices from the Office of the Secretary 1997
1.4.1 Morgan Dragon Development Corp. et al. 1997
1.4.2 Steven Vincent Weeres and Rebekah Donszelmann 1997
1.4.3 Blackwood & Rose Inc. et al. 1998
1.4.4 Inmet Mining Corporation and First Quantum Minerals Ltd. and its wholly-owned subsidiary FQM (Akubra) Inc. 1998
1.4.5 Peter Sbaraglia 1999
1.4.6 HEIR Home Equity Investment Rewards Inc. et al. 1999
1.4.7 Northern Securities Inc. et al. 2000
1.4.8 Livent Inc. et al. 2001
1.4.9 Garth H. Drabinsky et al. 2001
1.4.10 Quadrexx Asset Management Inc. et al. 2002
1.4.11 Firestar Capital Management Corp. et al. 2002
1.4.12 Factorcorp Inc. et al. 2003
1.4.13 Majestic Supply Co. Inc. et al. 2003
1.4.14 JV Raleigh Superior Holdings Inc. et al. 2004
1.4.15 HEIR Home Equity Investment Rewards Inc. et al. 2004
1.4.16 Systematech Solutions Inc. et al. 2005
Chapter 2 Decisions, Orders and Rulings 2007
2.1 Decisions 2007
2.1.1 Spartan Oil Corp. – s. 1(10) 2007
2.1.2 Western Financial Group Inc. 2008
2.1.3 R.N. Croft Financial Group Inc. and the Funds Listed in Schedule A 2011
2.1.4 Global Champions Split Corp. 2013
2.1.5 Total Capital S.A. and Total Capital Canada Ltd. 2017
2.1.6 Andor Mining Inc. 2024
2.1.7 Enbridge Income Fund Holdings Inc. 2029
2.1.8 The Great-West Life Assurance Company 2032
2.2 Orders 2033
2.2.1 Morgan Dragon Development Corp. et al. – s. 127 2033
2.2.2 Steven Vincent Weeres and Rebekah Donszelmann – s. 127 2034
2.2.3 Blackwood & Rose Inc. et al. – ss. 127(7), 127(8) 2035
2.2.4 Brandywine Global Investment Management LLC – s. 80 of the CFA 2036
2.2.5 Northern Securities et al. – ss. 21.7, 8 2044
2.2.6 Quadrexx Asset Management Inc. et al. – ss. 127(1), (7) and (8) 2045
2.2.7 Galway Gold Inc. 2047
2.2.8 Noventa Limited 2049
2.2.9 FactorCorp Inc. et al. – ss. 127, 127.1 2052
2.2.10 Firestar Capital Management Corp. et al. – ss. 127(1), 127(7), 127(8) 2052
2.2.11 Majestic Supply Co. Inc. et al. – ss. 37, 127, 127.1 2055
2.2.12 HEIR Home Equity Investment Rewards Inc. et al. – ss. 127, 127.1 2056
2.2.13 Systematech Solutions Inc. et al. – s. 127(1) 2057
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 2059
3.1 OSC Decisions, Orders and Rulings 2059
3.1.1 Factorcorp Inc. et al. – s. 127 2059
3.1.2 Majestic Supply Co. Inc. et al. – s. 127 2104
3.1.3 HEIR Home Equity Investment Rewards Inc. et al 2132
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 2141
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2141
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2141
4.2.2 Outstanding Management & Insider Cease Trading Orders 2141
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 2143
Chapter 8 Notice of Exempt Financings 2217
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 2217
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2221
Chapter 12 Registrations 2227
12.1.1 Registrants 2227
Chapter 13 SROs, Marketplaces, and Clearing Agencies 2229
13.1 SROs (nil)
13.2 Marketplaces 2229
13.2.1 Liquidnet Canada Inc. – Notice of Commission Approval of Proposed Changes 2229
13.2.2 Omega ATS – Notice of Commission Approval of Proposed Changes and Notice of Withdrawal of Proposed Order Types 2230
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 2231