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 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

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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