Ontario Securities Commission Bulletin

Issue 34/20 - May 20, 2011

Ont. Sec. Bull. Issue 05/20/2011

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• Current Proceedings before the Ontario Securities Commission

• OSC Staff Notice 51-718 -- Key Considerations Relating to an Auditor's Involvement with Interim Financial Reports

• Investment Funds Practitioner -- May, 2011

• Notice of Amendments to the Securities Act and the Commodity Futures Act

• OSC Staff Notice 34-701 -- Publication of Decisions of the Director on Registration Matters under Part XI of the Securities Act (Ontario) ("Opportunities to be Heard")

Notices of Hearing

• CI Financial Corp. -- s. 21.7

• Nelson Financial Group Ltd. et al. -- ss. 127(1). 127.1

• Nelson Financial Group Ltd. et al. -- ss. 127(1), 127.1

• Nelson Financial Group Ltd. et al. -- s. 127(1)

• Firestar Capital Management Corp. et al. -- s. 127

News Releases

• OSC Panel Finds Lyndz Pharmaceuticals Inc., James Marketing Ltd., Michael Eatch and Rickey McKenzie in Breach of Ontario Securities Act

Notices from the Office of the Secretary

• CI Financial Corp.

• Nelson Financial Group Ltd. et al.

• Richvale Resource Corporation et al.

• Nelson Financial Group Ltd. et al.

• Nelson Financial Group Ltd. et al.

• Nelson Financial Group Ltd. et al.

• Oversea Chinese Fund Limited Partnership et al.

• Nelson Financial Group Ltd. et al.

• Firestar Capital Management Corp. et al.

• Nelson Financial Group Ltd. et al.

• Lyndz Pharmaceuticals Inc. et al.

• Sextant Capital Management Inc. et al.

• Nelson Financial Group Ltd. et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

• Brompton Equity Split Corp. et al.

• Ventana Gold Corp.

• C.A. Bancorp Inc.

• PHX Energy Services Corp.

• Golden Peaks Resources Ltd.

• WEX Pharmaceuticals Inc. -- s. 1(10)

• Goodman & Company, Investment Counsel Ltd.

• Goodman & Company, Investment Counsel Ltd.

Orders

• Richvale Resource Corporation et al. -- ss. 127(1), 127(8)

• Nelson Financial Group Ltd. et al.

• Nelson Financial Group Ltd. et al.

• Nelson Financial Group Ltd. et al.

• Oversea Chinese Fund Limited Partnership et al. -- ss. 127(7), 127(8)

• Nelson Financial Group Ltd. et al.

• Nelson Financial Group Ltd. et al.

Rulings

• Sextant Capital Management Inc. et al.

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

• Nelson Financial Group Ltd. et al.

• Nelson Financial Group Ltd. et al.

• Lyndz Pharmaceuticals Inc. et al.

• Sextant Capital Management Inc. et al. -- s. 127

• Nelson Financial Group Ltd. 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 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 9 - Legislation

• Bill 173, Better Tomorrow for Ontario Act (Budget Measures), 2011

Chapter 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

• Registrants

Chapter 13 - SROs, Marketplaces and Clearing Agencies

Marketplaces

• Request for Comments -- Amendments to Permit Trading of Securities Listed on Other Canadian Exchanges

Clearing Agencies

• CDS -- Request for Comments -- Material Amendments to CDS Rules -- Electronic Payment of Entitlements

• CDS -- Request for Comments -- Material Amendments to CDS Rules -- Requirement for Uncertificated Withdrawal of Securities

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