Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 36, Issue 13
-- March 28, 2013 --


Table of Contents


Chapter 1 Notices / News Releases 3067
1.1 Notices 3067
1.1.1 Current Proceedings Before The Ontario Securities Commission 3067
1.2 Notices of Hearing 3075
1.2.1 New Futures Trading International Corporation and Fernando Honorate Fagundes also known as Henry Roche – ss. 127(1), 127(10) 3075
1.2.2 Bernard Boily – ss. 127, 127.1 3079
1.2.3 Myron Sullivan II formerly known as Fred Myron George Sullivan et al. – ss. 127(1), 127(10) 3080
1.2.4 Michael Robert Shantz and Canada Pacific Consulting Inc. – ss. 127(1), 127(10) 3085
1.2.5 HEIR Home Equity Investment Rewards Inc. et al. – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure 3089
1.2.6 HEIR Home Equity Investment Rewards Inc. et al. – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure 3090
1.2.7 Portfolio Capital Inc. et al. – ss. 127, 127.1 3091
1.3 News Releases 3096
1.3.1 Court Dismisses Appeals by Geoffrey Cornish and Dean Tai 3096
1.3.2 OSC and IIROC Announce Disbursement of ABCP Settlement Funds to Investors 3097
1.3.3 Canadian Securities Administrators Announce March 26 as Check Registration Day 3099
1.3.4 Canadian Securities Regulators Seek Comment on Proposals to Modernize Investment Fund Rules 3101
1.4 Notices from the Office of the Secretary 3103
1.4.1 Garth H. Drabinsky et al. 3103
1.4.2 AMTE Services Inc. 3103
1.4.3 CGX Energy Inc. 3104
1.4.4 Knowledge First Financial Inc. 3104
1.4.5 Heritage Education Funds Inc. 3105
1.4.6 Colby Cooper Capital Inc. et al. 3105
1.4.7 New Futures Trading International Corporation and Fernando Honorate Fagundes also known as Henry Roche 3106
1.4.8 David M. O’Brien 3106
1.4.9 Bernard Boily 3107
1.4.10 Myron Sullivan II formerly known as Fred Myron George Sullivan et al. 3107
1.4.11 Michael Robert Shantz and Canada Pacific Consulting Inc. 3108
1.4.12 Morgan Dragon Development Corp. et al. 3109
1.4.13 HEIR Home Equity Investment Rewards Inc. et al. 3110
1.4.14 HEIR Home Equity Investment Rewards Inc. et al. 3111
1.4.15 Portfolio Capital Inc. et al. 3112
Chapter 2 Decisions, Orders and Rulings 3113
2.1 Decisions 3113
2.1.1 Celtic Exploration Ltd. – s. 1(10)(a)(ii) 3113
2.1.2 Xstrata Canada Corporation and Glencore International PLC 3114
2.1.3 Peer 1 Network Enterprises, Inc. 3122
2.1.4 Valero Energy Corporation 3125
2.1.5 Vinci S.A. 3128
2.1.6 VisionSky Corp. – s. 1(10) 3133
2.1.7 Dixie Energy Holdings (Canada) Ltd. – s. 1(10) 3134
2.1.8 Webb Asset Management Canada, Inc. et al. 3135
2.1.9 Fleet Leasing Receivables Trust – s. 1(10) 3139
2.1.10 Goodwood Inc. and Goodwood Capital Fund 3140
2.1.11 BNP Paribas Prime Brokerage, Inc. 3141
2.1.12 K2 & Associates Investment Management Inc. and the K2 Principal Trust 3144
2.1.13 Foxpoint Capital Corp. 3149
2.1.14 Thomson Reuters Corporation 3153
2.1.15 Timbercreek U.S. Multi-Residential Opportunity Fund #1 3156
2.2 Orders 3158
2.2.1 Garth H. Drabinsky et al. 3158
2.2.2 AMTE Services Inc. – s. 127(8) 3158
2.2.3 Knowledge First Financial Inc. 3159
2.2.4 Heritage Education Funds Inc. 3161
2.2.5 Colby Cooper Capital Inc. et al. – s. 127 3162
2.2.6 David M. O’Brien – s. 9(1) of the SPPA and Rules 5.2(1) and 8.1 of the OSC Rules of Procedure 3163
2.2.7 Morgan Dragon Development Corp. et al. 3166
2.2.8 The Jenex Corporation – s. 144 3168
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 3171
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3171
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3171
4.2.2 Outstanding Management & Insider Cease Trading Orders 3171
Chapter 5 Rules and Policies 3173
5.1.1 CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations (Cost Disclosure, Performance Reporting and Client Statements) 3173
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 3235
Chapter 8 Notice of Exempt Financings 3383
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 3383
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 3395
Chapter 12 Registrations 3399
12.1.1 Registrants 3399
Chapter 13 SROs, Marketplaces, and Clearing Agencies 3401
13.1 SROs (nil)
13.2 Marketplaces 3401
13.2.1 TriAct Canada Marketplace LP – Notice of Proposed Changes and Request for Comment 3401
13.3 Clearing Agencies 3408
13.3.1 CDS – Notice of Effective Date – Technical Amendments to CDSProcedures – Tax Changes on CDS Forms 3408
Chapter 25 Other Information (nil)
Index 3411