Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 36, Issue 11
-- March 14, 2013 --


Table of Contents
Chapter 1 Notices / News Releases 2535
1.1 Notices 2535
1.1.1 Current Proceedings Before The Ontario Securities Commission 2535
1.1.2 Firestar Capital Management Corp. et al. 2543
1.2 Notices of Hearing 2544
1.2.1 Onix International Inc. and Tyrone Constantine Phipps – ss. 37, 127, 127.1 2544
1.3 News Releases 2548
1.3.1 Canadian Securities Regulators Seek Comment on Early Warning Reporting 2548
1.3.2 OSC INVESTOR ALERT: Inter Reef Ltd., Roman Novak and Radoslav Novak (doing business as Profitable Sunrise) 2550
1.4 Notices from the Office of the Secretary 2550
1.4.1 Peter Sbaraglia 2550
1.4.2 International Strategic Investments et al. 2551
1.4.3 Firestar Capital Management Corp. et al. 2551
1.4.4 New Hudson Television LLC and James Dmitry Salganov 2552
1.4.5 Ernst & Young LLP 2552
1.4.6 Children’s Education Funds Inc. 2553
1.4.7 JV Raleigh Superior Holdings Inc. et al. 2553
1.4.8 Quadrexx Asset Management Inc. 2554
1.4.9 Beryl Henderson 2555
1.4.10 Ground Wealth Inc. et al. 2556
1.4.11 Global Consulting and Financial Services et al. 2556
1.4.12 Ground Wealth Inc. et al. 2557
1.4.13 Normand Gauthier et al. 2557
1.4.14 Onix International Inc. and Tyrone Constantine Phipps 2558
1.4.15 Sandy Winick et al. 2558
Chapter 2 Decisions, Orders and Rulings 2559
2.1 Decisions 2559
2.1.1 Sunstone Opportunity Fund (2006) Limited Partnership – s. 1(10) 2559
2.1.2 Sunstone (No. 3) Limited Partnership – s. 1(10) 2560
2.1.3 Sunstone (No. 4) Limited Partnership – s. 1(10) 2561
2.1.4 H. Paulin & Co., Limited – s. 1(10) 2562
2.1.5 Union Bank, N.A. 2563
2.1.6 NOVA Chemicals Corporation 2569
2.2 Orders 2572
2.2.1 Peter Sbaraglia 2572
2.2.2 International Strategic Investments et al. 2574
2.2.3 Firestar Capital Management Corp. et al. 2575
2.2.4 New Hudson Television LLC and James Dmitry Salganov – s. 127 2579
2.2.5 Ernst & Young LLP – ss. 127, 127.1 2580
2.2.6 Children’s Education Funds Inc. 2581
2.2.7 JV Raleigh Superior Holdings Inc. et al. – Rules 9, 10 and 11 of the OSC Rules of Procedure 2583
2.2.8 Quadrexx Asset Management Inc. – ss. 127(1), 127(7), 127(8) 2584
2.2.9 Mackenzie Financial Corporation et al. – ss. 78(1), 80 of the CFA 2586
2.2.10 Beryl Henderson 2591
2.2.11 Ground Wealth Inc. et al. 2592
2.2.12 Global Consulting and Financial Services et al. – ss. 127(1), 127(8) 2592
2.2.13 Ground Wealth Inc. et al. – ss. 127(1), 127(7), 127(8) 2596
2.2.14 Normand Gauthier et al. – s. 127 2598
2.2.15 Sandy Winick et al. – Rules 3.3, 11 2599
2.3 Rulings 2600
2.3.1 Newedge USA, LLC – s. 38 of the Act and s. 6.1 of Rule 91-502 Trades in Recognized Options 2600
Chapter 3 Reasons: Decisions, Orders and Rulings 2609
3.1 OSC Decisions, Orders and Rulings 2609
3.1.1 Peter Sbaraglia 2609
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 2617
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2617
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2617
4.2.2 Outstanding Management & Insider Cease Trading Orders 2617
Chapter 5 Rules and Policies 2619
5.1.1 CSA Notice of Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to NI 25-101 Designated Rating Organizations 2619
Chapter 6 Request for Comments 2643
6.1.1 Proposed NI 62-105 Security Holder Rights Plans, Proposed Companion Policy 62-105CP, and Proposed Consequential Amendments 2643
6.1.2 Proposed Amendments to MI 62-104 Take-Over Bids and Issuer Bids, NP 62-203 Take-Over Bids and Issuer Bids, and NI 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Issues 2675
Chapter 7 Insider Reporting 2705
Chapter 8 Notice of Exempt Financings 2827
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 2827
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2839
Chapter 12 Registrations 2845
12.1.1 Registrants 2845
Chapter 13 SROs, Marketplaces, and Clearing Agencies 2847
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 2847
13.3.1 CDS – Notice and Request for Comments – Material Amendments to CDS Procedures – Modification of Non-Financial Details on Blind Repo Trades 2847
13.3.2 CDS Clearing and Depository Services Inc. – Notice and Request for Comment – Material Amendments to CDS Procedures – Locked-In Trade Reconciliation Service and the NSCC Trade File Pass-Through Service 2851
13.3.3 CDS Clearing and Depository Services Inc. – Material Amendments to CDS Procedures – Amendments to Buy-In Messaging – Request for Comments 2856
Chapter 25 Other Information (nil)
Index 2861