Ontario Securities Commission Bulletin
Issue 35/49 - December 06, 2012
Ont. Sec. Bull. Issue 35/49
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• OSC Staff Notice 33-739 -- Termination of the Ontario Contingency Trust Fund
Notices of Hearing
• Ernst & Young LLP -- ss. 127, 127.1
• Nest Acquisitions and Mergers et al. -- s. 127 of the Act and Rule 12 of the OSC Rules of Procedure
News Releases
• Canadian Securities Regulators Adopt Amendments To Improve Issuer Communications with Investors
• OSC Alleges Breach of Ontario Securities Act Against Ernst & Young LLP
Notices from the Office of the Secretary
• David Charles Phillips
• Portus Alternative Asset Management Inc. et al.
• David Charles Phillips and John Russell Wilson
• Ernst & Young LLP
• Moncasa Capital Corporation and John Frederick Collins
• Global Consulting and Financial Services et al.
• Moncasa Capital Corporation and John Frederick Collins
• VIncent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation)
• Nest Acquisitions and Mergers et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Sprott Asset Management LP and Sprott All Cap Fund
• WGI Heavy Minerals, Incorporated
• Open EC Technologies, Inc.
• Creststreet Asset Management Limited et al.
• Online Energy Inc. -- s. 1(10)(a)(ii)
• Essex Angel Capital Inc.
• Desjardins Financial Security Investments Inc. and MGI Financial Inc
• Global Growth Assets Inc. et al.
• Pro-Financial Asset Management Inc. and the Funds Listed in Schedule A
• Provisus Wealth Management Limited et al.
Orders
• Portus Alternative Asset Management Inc. et al. -- s. 127
• Moncasa Capital Corporation and John Frederick Collins -- s. 127
• Global Consulting and Financial Services et al. -- ss. 127(1), 127(8)
• VIncent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation)
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• David Charles Phillips
• Portus Alternative Asset Management Inc. et al. -- s. 127
• David Charles Phillips and John Russell Wilson
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
• CSA Consultation Paper 91-301 -- Model Provincial Rules -- Derivatives Product Determination and Trade Repositories and Derivatives Data Reporting
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 Dealer Member Rules 800.49 and 200.1(h) -- Trade Confirmation and Matching Requirements
Clearing Agencies
• Notice of Commission Approval -- Material Amendments to CDS Procedures -- Enhancements to the CNS Allotment Process
• Notice and Request for Comments -- Material Amendments to CDS Procedures -- Enhancements to the CNS Allotment and Conversion Process
• OSC Staff Notice of Commission Approval -- Material Amendments to CDS Rules -- CDCC Interface -- Phase 2 -- Partial Settlement
• OSC Staff Notice of Commission Approval -- Material Amendments to CDS Procedures -- CDCC Interface -- Caps and Lines of Credit Updates
• OSC Staff Notice of Commission Approval -- Material Amendments to CDS Procedures -- CDCC Interface -- Phase 2
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