Ontario Securities Commission Bulletin
Issue 34/27 - July 08, 2011
Ont. Sec. Bull. Issue 07/08/2011
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• CSA Staff Notice 31-325 -- Marketing Practices of Portfolio Managers
• Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements and Exemptions and Related Instruments
• Sunil Tulsiani et al.
• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation Table of Concordance and List of New Instruments
Notices of Hearing
• Empire Consulting Inc. and Desmond Chambers -- ss. 127, 127.1
News Releases
• OSC Panel Issues Sanctions Against Sulja Bros. Building Supplies, Ltd., Petar Vucicevich, Kore International Management Inc., Andrew DeVries, Steven Sulja, Pranab Shah, Tracey Banumas and Sam Sulja for Breaches of the Securities Act
• Canadian Securities Administrators Publish Guidance on Marketing Practices of Portfolio Managers
• OSC Commences Emerging Market Issuers Regulatory Review
• OSC Panel Issues Sanctions Against IMAGIN Diagnostic Centres Inc. and Patrick J. Rooney for Breaches of the Securities Act
Notices from the Office of the Secretary
• Empire Consulting Inc. and Desmond Chambers
• Sextant Capital Management Inc. et al.
• Sunil Tulsiani et al.
• HEIR Home Equity Investment Rewards Inc. et al.
• Citadel Income Fund and Energy Income Fund
• Empire Consulting Inc. and Desmond Chambers
• Sulja Bros. Building Supplies, Ltd. et al.
• Public Consultation on Proposed Transaction by TMX Group Inc. and London Stock Exchange Group
• Goldpoint Resources Corporation et al.
• IMAGIN Diagnostic Centres Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Russell Investments Canada Limited
• I.G. Investment Management, Ltd.
• Canadian Apartment Properties Real Estate Investment Trust
• Xtract Energy PLC
• Continental Minerals Corporation
• Marathon Oil Corporation
• Aston Hill Asset Management Inc. and Aston Hill Capital Growth Fund
• AlphaPro Management Inc. and Horizons AlphaPro Managed S&P/TSX 60™ ETF
• Mantra Resources Limited
• Valeura Energy Inc.
• Eamonn Brian McConnell
• Procon Mining Holdings Ltd.
• Penn West Santiago Ltd.
• Medoro Resources (Yukon) Inc. -- s. 1(10)(a)(ii)
• Fidelity Global Large Cap Fund et al.
Orders
• RBC Global Asset Management Inc. and BlueBay Asset Management Ltd. -- s. 80 of the CFA
• HEIR Home Equity Investment Rewards Inc. et al. -- ss. 127(1), 127.1
• Empire Consulting Inc. and Desmond Chambers -- s. 127
• Sulja Bros. Building Supplies, Ltd. et al. -- ss. 127, 127.1
• IMAGIN Diagnostic Centres Inc. et al. -- ss. 127, 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Sulja Bros. Building Supplies, Ltd. et al. -- ss. 127, 127.1
• IMAGIN Diagnostic Centres Inc. 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 5 - Rules and Policies
• Amendments to NI 31-103 Registration Requirements and Exemptions
• Amendments to NI 33-109 Registration Information
• Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information
• Companion Policy 33-506CP (Commodity Futures Act) Registration Information
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
SROs
• Notice of Rescission of Commission Approval -- Amendments to MFDA Rule 1.2.1(d)(vii)(A) -- Dual Occupations
• Proposed Amendments to MFDA Rule 2.2.1 ("Know-Your-Client") and MFDA Policy No. 2 Minimum Standards For Account Supervision
Marketplaces
• TSX Rules -- Prioritization of Non-Displayed Orders (Dark Orders) That Have a Minimum Quantity Condition
Clearing Agencies
• CDS -- Notice and Request for Comment -- Material Amendments to CDS Procedures -- CDCC INTERFACE
Chapter 25 - Other Information
Consents
• Newcastle Resources Ltd. -- s. 4(b) of the Regulation
• Candax Energy Inc. -- s. 4(b) of the Regulation
Exemptions
• Front Street Global Opportunities Fund and Front Street Growth and Income Fund
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