Appearing Before the Commission
The “OSC Guide to Enforcement Proceedings” and “Frequently Asked Questions about Hearings” together explain how enforcement investigations and proceedings of the Ontario Securities Commission are conducted, including information about hearings, decisions and sanctions. These two documents provide valuable information and tips on how to prepare for a hearing.
These documents are intended to provide only an overview to parties appearing before the Commission in its adjudicative proceedings. Commission proceedings are governed by the Ontario Securities Act, R.S.O. 1990, c. S.5, as amended, the Commission’s Rules of Procedure (the “Rules”) and the Statutory Powers Procedure Act, R.S.O. 1990, c. S.22, and parties should refer to the Rules and relevant statutes. The Guide should not be relied upon by itself by parties to determine their substantive and procedural rights and obligations.