Ontario Securities Commission Bulletin
Issue 35/06 - February 10, 2012
Ont. Sec. Bull. Issue 35/06
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notices of Hearing
• Sage Investment Group et al. -- ss. 127, 127.1
• Irwin Boock et al. -- ss. 127(1), 127.1
• Eda Marie Agueci et al. -- ss. 127(1), 127.1
News Releases
• Canadian Securities Regulators Modernize Rules Concerning Mutual Funds
Notices from the Office of the Secretary
• Phoenix Credit Risk Management Consulting Inc. et al.
• Ameron Oil and Gas Ltd. et al.
• Firestar Capital Management Corp. et al.
• Bernard Boily
• Sage Investment Group et al.
• David M. O'Brien
• Zungui Haixi Corporation
• Bruce Carlos Mitchell
• Irwin Boock et al.
• Global Energy Group, Ltd. et al.
• HEIR Home Equity Investment Rewards Inc. et al.
• Vincent Ciccone and Medra Corp.
• Ciccone Group et al.
• M P Global Financial Ltd. and Joe Feng Deng
• Lyndz Pharmaceuticals Inc. et al.
• Irwin Boock et al.
• Eda Marie Agueci et al.
• Global Energy Group, Ltd. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• ING Direct Asset Management Limited and ING Direct Funds Limited
• Ontario Power Generation Inc.
• Vinci S.A.
• Sprott Asset Management LP
• Sprott Asset Management LP et al.
• Hathor Exploration Limited -- s. 1(10)
• Cenovus Energy Inc.
• Credit Suisse Securities (USA) LLC
• Third Canadian General Investment Trust Limited
• Deans Knight Capital Management Ltd.
• Deans Knight Capital Management Ltd.
Orders
• Phoenix Credit Risk Management Consulting Inc. et al. -- ss. 127, 127.1, 144 of the SA, s. 9 of the SPPA and Rule 5.2 of the OSC Rules of Procedure
• Ameron Oil and Gas Ltd. et al.
• Firestar Capital Management Corp. et al. -- s. 127
• Bernard Boily -- Rule 6.7 of the OSC Rules of Procedure
• Angus Mining (Namibia) Inc. -- s. 104(2)(c)
• David M. O'Brien
• Zungui Haixi Corporation -- ss. 127(1), 127(8)
• Bruce Carlos Mitchell -- ss. 127, 127.1
• Irwin Boock et al. -- ss. 127, 127.1
• HEIR Home Equity Investment Rewards Inc. et al. -- ss. 127(1), 127.1
• Vincent Ciccone and Medra Corp. -- Rule 6.7 of the OSC Rules of Procedure
• Ciccone Group et al. -- ss. 127(7), 127(8)
• Global Energy Group, Ltd. et al. -- s. 127
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Bruce Carlos Mitchell
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
• Notice of Amendments to NI 81-102 Mutual Funds, Companion Policy 81-102CP, NI 81-106 Investment Fund Continuous Disclosure, NI 81-101 Mutual Fund Prospectus Disclosure and NI 41-101 General Prospectus Requirements
• Amending Instrument to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Chapter 6 - Request for Comments
• MI 32-102 Registration Exemptions for Non-Resident Investment Fund Managers and Companion Policy 32-102CP Registration Exemptions for Non-Resident Investment Fund Managers
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 Commission Approval -- IIROC Proposal for an Integrated Fee Model
Marketplaces
• TriAct Canada Marketplace LP -- Notice of Completion of Staff Review of Proposed Changes - Cancel on Disconnect
• TriAct Canada Marketplace LP -- Notice of Proposed Changes and Request for Feedback - No Self-Trade Feature
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