Ontario Securities Commission Bulletin
Issue 34/45 - November 11, 2011
Ont. Sec. Bull. Issue 34/45
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• CSA Staff Consultation Note 45-401 -- Review of Minimum Amount and Accredited Investor Exemptions - Public Consultation
• OSC Staff Notice 11-737 (Revised) -- Securities Advisory Committee - Vacancies
Notices of Hearing
• Taras Hucal
• New Found Freedom Financial et al. -- ss. 127, 127.1
• Zungui Haixi Corporation et al. -- ss. 127, 127.1
News Releases
• Court Dismisses Appeals of John Xanthoudakis and Dale Smith Regarding OSC Panel Rulings in Norshield Asset Management Matter
• Canadian Securities Regulators Announce Review of Minimum Amount and Accredited Investor Prospectus Exemptions
Notices from the Office of the Secretary
• North American Financial Group Inc. et al.
• Taras Hucal
• Peter Sbaraglia
• Oversea Chinese Fund Limited Partnership et al.
• Ciccone Group et al.
• Vincent Ciccone and Medra Corp.
• Empire Consulting Inc. and Desmond Chambers
• Shallow Oil & Gas Inc. et al.
• New Found Freedom Financial et al.
• Maitland Capital Ltd. et al.
• Zungui Haixi Corporation et al.
• Taras Hucal
• Coventree Inc. et al.
• Zungui Haixi Corporation
• York Rio Resources Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• RBC Global Asset Management Inc.
• Invesco Canada Ltd. (formerly, Invesco Trimark Ltd.) and Powershares Tactical Bond Capital Yield Class
• Vanguard Investments Canada Inc.
• Natunola Health Biosciences Inc. -- s. 1(10)
• Vanguard Investments Canada Inc.
• Labopharm inc. -- s. 1(10)
• Texada Software Inc.
• National Bank Direct Brokerage Inc. and NBCN Inc.
• Silver Bullion Trust
• Capstone Infrastructure Corporation
• Piper Jaffray & Co.
• McEwen Mining - Minera Andes Acquisition Corp.
• The Society of Petroleum Evaluation Engineers
• CPI Preferred Equity Ltd. and Atlantic Power Corporation
• Patient Home Monitoring Corp. et al.
Orders
• North American Financial Group Inc. et al. -- ss. 127(7), 127(8)
• Peter Sbaraglia
• Oversea Chinese Fund Limited Partnership et al. -- ss. 127(7), 127(8)
• Ciccone Group et al. -- ss. 127(7), 127(8)
• Vincent Ciccone and Medra Corp. -- s. 127
• Shallow Oil & Gas Inc. et al. -- ss. 127(1), 127(8)
• Maitland Capital Ltd. et al. -- s. 127
• Taras Hucal -- ss. 127(1), 127.1
• Coventree Inc. et al. -- ss. 127, 127.1
• Zungui Haixi Corporation -- ss. 127(7), 127(8)
• York Rio Resources Inc. et al. -- s. 127 of the Act and Rule 3 of the OSC Rules of Practice
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Maitland Capital Ltd. et al. -- s. 127
• Taras Hucal
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 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
• Alpha ATS LP -- Notice of Completion of Staff Review of Proposed Changes - New DAO Order Designations, Elimination of All or None Order, and Changes to Mixed Lot Order Handling
Chapter 25 - Other Information
Consents
• Wedge Energy International Inc. -- s. 4(b) of the Regulation
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