Proceedings


All Commission Proceedings


This section contains documents relating to Commission proceedings, such as notices of the Office of the Secretary, notices of hearing, statements of allegation, decisions, reasons for decisions and settlements.

The documents are listed by respondent, according to the date the document was signed. The respondent is the individual or company that is the subject of a proceeding.

OSC tribunal reasons issued since 2004 are also available free of charge on the Canadian Legal Information Institute website (CanLII).

For decisions relating to exemptive relief applications and other matters, see Orders, Rulings & Decisions.

April 24, 2018Notice from the Office of the Secretary: 1832 Asset Management L.P, File No.2018-20
April 23, 2018Notice from the Office of the Secretary: Miles S. Nadal, File No. 2017-77
April 23, 2018Notice from the Office of the Secretary: Maria Psihopedas, File No. 2018-18
April 20, 2018Notice from the Office of the Secretary: Donna Hutchinson et al
April 20, 2018Notice from the Office of the Secretary: Maria Psihopedas, File No. 2018-18
April 19, 2018Notice from the Office of the Secretary: 1832 Asset Management L.P, File No.2018-20
April 18, 2018Notice from the Office of the Secretary: Mackenzie Financial Corporation, File No. 2018-15
April 17, 2018Notice from the Office of the Secretary: Trilogy Mortgage Group Inc. and Trilogy Equities Group Limited Partnership, File No. 2018-21
April 16, 2018Notice from the Office of the Secretary: Donald Mason, File No. 2018-1
April 12, 2018Notice from the Office of the Secretary: Omega Securities Inc., File No. 2017-64
April 12, 2018Notice from the Office of the Secretary: Benedict Cheng et al.
April 12, 2018Notice from the Office of the Secretary: Donald Mason, File No. 2018-1
April 12, 2018Notice from the Office of the Secretary: Omega Securities Inc., File No. 2017-66
April 11, 2018Notice from the Office of the Secretary: Maria Psihopedas, File No. 2018-18
April 10, 2018Notice from the Office of the Secretary: Dennis Wing
April 9, 2018Notice from the Office of the Secretary: Dennis L. Meharchand et al.
April 9, 2018Notice from the Office of the Secretary: Crystal Wealth Management System Limited et al.
April 9, 2018Notice from the Office of the Secretary: USI Tech Limited et al., File No. 2018-8
April 6, 2018Notice from the Office of the Secretary: Mackenzie Financial Corporation, File No. 2018-15
April 5, 2018Notice from the Office of the Secretary: USI Tech Limited et al., File No. 2018-8
April 5, 2018Notice from the Office of the Secretary: Muchoki Fungai Simba (also previously known as Henderson MacDonald Alexander Butcher), File No. 2018-6
April 4, 2018Notice from the Office of the Secretary: Muchoki Fungai Simba (also known as Henderson MacDonald Alexander Butcher), File No. 2018-6
April 4, 2018Notice from the Office of the Secretary: Mackenzie Financial Corporation
April 4, 2018Notice from the Office of the Secretary: Sital Singh Dhillon
April 2, 2018Notice from the Office of the Secretary: Miles S. Nadal, File No. 2017-77
April 2, 2018Notice from the Office of the Secretary: Brian Michael Sutton and Investment Industry Regulatory Organization of Canada, File Nos. 2017-37 and 2018-10
March 29, 2018Notice from the Office of the Secretary: Martin Bernholtz, File No. 2018-16
March 28, 2018Notice from the Office of the Secretary: Omega Securities Inc., File No. 2017-64
March 28, 2018Notice from the Office of the Secretary: In the Matter of David Tuan Seng Lim and Michael Mugford, File No. 2018-14
March 28, 2018Notice from the Office of the Secretary: Majd Kitmitto et al., File No. 2018-9