Ontario Securities Commission Bulletin
Issue 34/19 - May 13, 2011
Ont. Sec. Bull. Issue 34/19
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• OSC Staff Notice 33-735 -- Sale of Exempt Securities to Non-Accredited Investors
• Notice of Ministerial approval of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD)
News Releases
• Abraham Herbert Grossman and Hanoch Ulfan Each Sentenced to 21 Months in Jail for Breaching Ontario Securities Act
• OSC Panel Finds Goldpoint Resources Corporation, Pasqualino Novielli, Brian Patrick Moloney and Zaida Pimentel in Breach of Ontario Securities Act
Notices from the Office of the Secretary
• Biovail Corporation et al.
• FactorCorp Inc. et al.
• York Rio Resources Inc. et al.
• Global Energy Group, Ltd. et. al.
• Global Energy Group, Ltd. et al.
• Goldpoint Resources Corporation et al.
• QuantFX Asset Management Inc. et al.
• L.T.M.T. Trading Ltd. et al.
• Ciccone Group et al.
• York Rio Resources Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Sprott Asset Management L.P. and Sprott Diversified Yield Fund
• Brookfield Homes Corporation -- s. 1(10)
• Financial Services Income STREAMS Corporation -- s. 1(10)
• BMO Nesbitt Burns Inc.
• Lone Pine Resources Inc.
• Chai Cha Na Mining Inc.
• UBS Securities LLC
• UNX Energy Corp.
Orders
• Biovail Corporation et al. -- ss. 127, 127.1
• FactorCorp Inc. et al. -- s. 127
• York Rio Resources Inc. et al. -- s. 127 of the Act and Rule 3 of the OSC Rules of Practice
• Fortress Energy Inc. -- s. 144
• Global Energy Group, Ltd. et. al. -- s. 127
• Global Energy Group, Ltd. et al. -- ss. 127(7), 127(8)
• QuantFX Asset Management Inc. et al. -- ss. 127(7), 127(8)
• Russell Implementation Services Inc. -- s. 80 of the CFA
• Capital Gold Corporation -- s. 1(10)
• L.T.M.T. Trading Ltd. et al. -- s. 127
• Ciccone Group et al. -- ss. 127(7), 127(8)
• 2100 Xenon Group LLC -- s. 80 of the CFA
• York Rio Resources Inc. et al. -- s. 152
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Minvestec Capital Corp. -- s. 31
• Goldpoint Resources Corporation et al.
Chapter 4 - Cease Trading Orders
• Temporary, Permanent & Rescinding Issuer Cease Trading Orders
• Temporary, Permanent & Rescinding Management Cease Trading Orders
• Outstanding Management & Insider Cease Trading Orders
Chapter 6 - Request for Comments
• Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions and Companion Policy 31-103CP Registration Requirements and Exemptions -- Exemptions from certain requirements for SRO Members
Chapter 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
Chapter 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces and Clearing Agencies
Marketplaces
• Notice of Alpha Exchange Inc. and Alpha Trading Systems Limited Partnership -- Republication of Comparison Chart regarding Listing Requirements
• TMX Group Inc. and TSX Inc. -- Proposed Transaction with London Stock Exchange Group PLC -- Notice and Request for Comment
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