Ontario Securities Commission Bulletin

Issue 36/10 - March 07, 2013

Ont. Sec. Bull. Issue 36/10

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• Current Proceedings before the Ontario Securities Commission

• Multilateral CSA Staff Notice 51-338 -- Continuous Disclosure and Prospectus Requirements Relating to Documents Prepared under the U.S. Securities and Exchange Act of 1934

• Gold-Quest International et al.

Notices of Hearing

• Huntingdon Capital Corp. and KEYreit -- s. 127(1)

• KEYreit and Huntingdon Capital Corp. -- s. 127(1)

• Peter Sbaraglia -- s. 127

News Releases

• Canadian Securities Regulators Adopt Amendments to Prospectus Rules

• OSC Panel Releases Decision Regarding FactorCorp Inc. et al.

• OSC Enforcement Activity in 2012

• OSC Panel Issues Sanctions Against Empire Consulting Inc. and Desmond Chambers

• Canadian Securities Regulators Stress Being Proactive is Key in Preventing Investor Fraud

Notices from the Office of the Secretary

• Huntingdon Capital Corp. and KEYreit

• Global Energy Group, Ltd. et al.

• HEIR Home Equity Investment Rewards Inc. et al.

• Peter Sbaraglia

• David M. O'Brien

• Issam El-Bouji et al.

• Empire Consulting Inc. and Desmond Chambers

• Morgan Dragon Development Corp. et al.

• MI Capital Corporation and One Capital Corp. Limited

• Peter Sbaraglia

• Huntingdon Capital Corp. and KEYreit

• KEYreit and Huntingdon Capital Corp.

• Peter Sbaraglia

• Gold-Quest International et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

• Fortress Energy Inc.

• RBC Global Asset Management Inc.

• RBC Global Asset Management Inc.

• FT Portfolios Canada Co. et al.

• The Futura Loyalty Group Inc. -- s. 1(10)(a)(ii)

• Goodwood Inc. and Goodwood Capital Fund

• AlphaPro Management Inc. and Horizons Seasonal Rotation ETF

• AuRico Gold Inc.

• Astral Mining Corporation -- s. 1(10)(a)(ii)

• Iberian Minerals Corp. plc -- s. 1(10)

Orders

• Global Energy Group, Ltd. et al. -- ss. 127(7), 127(8)

• HEIR Home Equity Investment Rewards Inc. et al. -- ss. 127(1), 127.1

• Peter Sbaraglia -- Rules 1.6(2), 4.3(1), 4.5(1) and 6.2 of the OSC Rules of Procedure

• David M. O'Brien -- s. 9(1) of the SPPA and Rules 5.2(1), 8.1 of the OSC Rules of Procedure

• Issam El-Bouji et al. -- s. 127

• Galway Metals Inc. -- s. 1(11)(b)

• Empire Consulting Inc. and Desmond Chambers -- ss. 127(1), 127.1

• Metro Inc. -- s. 104(2)(c)

• Metro Inc. -- s. 104(2)(c)

• Morgan Dragon Development Corp. et al. -- s. 127

• MI Capital Corporation and One Capital Corp. Limited -- Rule 11 of the OSC Rules of Procedure

• Peter Sbaraglia -- Rule 4.7(2) of the OSC Rules of Procedure

• Canadian Derivatives Clearing Corporation -- s. 144

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

• Empire Consulting Inc. and Desmond Chambers -- ss. 127, 127.1

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 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

• Registrants

Chapter 13 - SROs, Marketplaces and Clearing Agencies

SROs

• IIROC Rule Notice 13-0058 -- Request for Comments -- Proposed Requirements for Debt Securities Transaction Reporting

Marketplaces

• Alpha Exchange Inc -- Notice of Proposed Changes and Request for Feedback -- Amendments to the Alpha Exchange Trading Policies to Reflect Migration to TSX Quantum

• TSX Inc. -- Notice of Withdrawal -- Post Only Attribute for Dark Order Types

Clearing Agencies

• CDCC -- Notice of Commission Order -- Second Variation to the Temporary Exemption Order

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