Dealers, Advisers and Investment Fund Managers
Opportunity to Be Heard
Firms and individuals have the right to a hearing with the Director before the OSC:
- imposes terms and conditions on a registration, or
- refuses an application for registration, reinstatement of registration, or amendments to a registration.
This is known as an “opportunity to be heard”.
An opportunity to be heard is normally conducted in writing, although it can be conducted in person. The Director will issue a decision on the matter in writing to the firm or individual, and to OSC staff. The firm or individual has the right to ask the OSC to review the Director’s decision.
For a list of decisions relating to opportunities to be heard since 2003, see Director's Decisions.