Ontario Securities Commission Bulletin
Issue 36/11 - March 14, 2013
Ont. Sec. Bull. Issue 36/11
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• Firestar Capital Management Corp. et al.
Notices of Hearing
• Onix International Inc. and Tyrone Constantine Phipps -- ss. 37, 127, 127.1
News Releases
• Canadian Securities Regulators Seek Comment on Early Warning Reporting
• OSC INVESTOR ALERT: Inter Reef Ltd., Roman Novak and Radoslav Novak (doing business as Profitable Sunrise)
Notices from the Office of the Secretary
• Peter Sbaraglia
• International Strategic Investments et al.
• Firestar Capital Management Corp. et al.
• New Hudson Television LLC and James Dmitry Salganov
• Ernst & Young LLP
• Children's Education Funds Inc.
• JV Raleigh Superior Holdings Inc. et al.
• Quadrexx Asset Management Inc.
• Beryl Henderson
• Ground Wealth Inc. et al.
• Global Consulting and Financial Services et al.
• Ground Wealth Inc. et al.
• Normand Gauthier et al.
• Onix International Inc. and Tyrone Constantine Phipps
• Sandy Winick et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Sunstone Opportunity Fund (2006) Limited Partnership -- s. 1(10)
• Sunstone (No. 3) Limited Partnership -- s. 1(10)
• Sunstone (No. 4) Limited Partnership -- s. 1(10)
• H. Paulin & Co., Limited -- s. 1(10)
• Union Bank, N.A.
• NOVA Chemicals Corporation
Orders
• Peter Sbaraglia
• International Strategic Investments et al.
• Firestar Capital Management Corp. et al.
• New Hudson Television LLC and James Dmitry Salganov -- s. 127
• Ernst & Young LLP -- ss. 127, 127.1
• Children's Education Funds Inc.
• JV Raleigh Superior Holdings Inc. et al. -- Rules 9, 10 and 11 of the OSC Rules of Procedure
• Quadrexx Asset Management Inc. -- ss. 127(1), 127(7), 127(8)
• Mackenzie Financial Corporation et al. -- ss. 78(1), 80 of the CFA
• Beryl Henderson
• Ground Wealth Inc. et al.
• Global Consulting and Financial Services et al. -- ss. 127(1), 127(8)
• Ground Wealth Inc. et al. -- ss. 127(1), 127(7), 127(8)
• Normand Gauthier et al. -- s. 127
• Sandy Winick et al. -- Rules 3.3, 11
Rulings
• Newedge USA, LLC -- s. 38 of the Act and s. 6.1 of Rule 91-502 Trades in Recognized Options
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Peter Sbaraglia
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
• CSA Notice of Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to NI 25-101 Designated Rating Organizations
Chapter 6 - Request for Comments
• Proposed NI 62-105 Security Holder Rights Plans, Proposed Companion Policy 62-105CP, and Proposed Consequential Amendments
• Proposed Amendments to MI 62-104 Take-Over Bids and Issuer Bids, NP 62-203 Take-Over Bids and Issuer Bids, and NI 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Issues
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
Clearing Agencies
• CDS -- Notice and Request for Comments -- Material Amendments to CDS Procedures -- Modification of Non-Financial Details on Blind Repo Trades
• CDS Clearing and Depository Services Inc. -- Notice and Request for Comment -- Material Amendments to CDS Procedures -- Locked-In Trade Reconciliation Service and the NSCC Trade File Pass-Through Service
• CDS Clearing and Depository Services Inc. -- Material Amendments to CDS Procedures -- Amendments to Buy-In Messaging -- Request for Comments
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