OSC Proceedings

Before the Commission


Under section 127 of the Securities Act (Ontario), the OSC can initiate proceedings against individuals or companies (the respondents) suspected of violating securities law or acting contrary to the public interest.

A proceeding is initiated when a notice of hearing is issued and a statement of allegations is filed. It is heard before an administrative tribunal of the Commission. The Commission can impose sanctions such as financial penalties and bans on trading and other activities in the capital markets.

For documents relating to open and completed proceedings, see All Commission Proceedings.

Commission hearings are generally open to the public. They are held at the OSC’s offices:

Ontario Securities Commission
20 Queen Street West
17th floor
Toronto, ON
M5H 3S8

Upcoming Proceedings

Date and Time Proceeding Information
Page 1 of 3Next » 
September 16 - 22, 2014
10:00 AM

September 24-26, 30, October 1-6, 8-10, 14-17, 28-31, November 3, 5-7, 11-17, 19-21, 25-28, December 1, 3-5, 9-15, 17-19, 2014, March 17-23, 25-27, 31, April 1-2, 8-10, 14-20, 22-24, 28-30, May 1-4, 6-8, 12-15, 20-22, 26-29, June 3-5, June 9-12, June 17-29, 2015 10:00 a.m.
Sino-Forest Corporation, Chan, Allen, Ip, Albert, Hung, Alfred C.T., Ho, George, Yeung, Simon, Horsley, David,
Section: s.127
Panel: JDC/EPK/DL
Note: H. Craig/C. Rossi in attendance for Staff
September 24, 2014
3:00 PM

International Strategic Investments, International Strategic Investments Inc., Somin Holdings Inc., Gillani, Nazim, Driscoll, Ryan J.,
Section: 127
Panel: JEAT
Note: C. Watson in attendance for Staff
September 29 - October 3, 2014
10:00 AM

October 10, October 14 - 20, October 22 - November 3, November 5 - 7, November 10 - 14, 2014  & December 8, 2014 10:00 AM
Azeff, Paul, Bobrow, Korin, Finkelstein, Mitchell, Miller, Howard Jeffrey, Cheng, Man Kin (a.k.a. Francis Cheng),
Section: s. 127
Panel: AJL/AMR/CEB
Note: T. Center/ D.Campbell in attendance for Staff
September 29, 2014
10:00 AM

Pro-Financial Asset Management Inc.,
Section: s. 127
Panel: JEAT
Note: D. Ferris in attendance for staff
September 30, 2014
10:00 AM

Ernst & Young LLP (Audits of Sino-Forest Corporation and Zungui Haixi Corporation),
Section: 127 and 127.1
Panel: JEAT
Note: Y. Chisholm in attendance for Staff
October 6, 2014
10:00 AM

October 8 - 20 & October 22 - 31, 2014

10:00 AM

Black, Conrad M., Boultbee, John A., Atkinson, Peter Y.,
Section: 127 and 127.1
Panel: CP/JNR
Note: J. Superina / J. Friedman in attendance for Staff
October 7, 2014
3:00 PM

Doulis, Alexander Christ (aka Alexander Christos Doulis, aka Alexandros Christodoulidis), Liberty Consulting Ltd.,
Section: 127
Panel: VK
Note: J. Feasby in attendance for staff
October 8, 2014
10:00 AM

Gatekeepers of Wealth Inc., Bochner, Joseph,
Section: s. 127 and 127.1
Panel: MGC
Note: G. Smyth in attendance for Staff
October 22-23, 2014
10:00 AM

Khan, Fawad Ul Haq, Khan Trading Associates Inc. Carrying On Business As Money Plus,
Section: s. 60 and 60.1 of the Commodity Futures Act
Panel: VK/JDC
Note: T. Center/A. Huculak in attendance for Staff
October 27, 2014
2:00 PM

Tang, Weizhen,
Section: s. 127
Panel: TBA
Note: C. Rossi in attendance for staff
October 27, 2014
2:00 PM

Oversea Chinese Fund Limited Partnership, Weizhen Tang and Associates Inc., Weizhen Tang Corp., Tang, Weizhen,
Section: s. 127 and 127.1
Panel: TBA
Note: H. Craig in attendance for staff
November 3, 2014
10:00 AM

Inspektor, Eric,
Section: 127 and 127.1
Panel: MGC
Note: S. Chandra in attendance for staff
November 6-7, 2014
10:00 AM

Wealth Stewards Portfolio Management Inc., Lucas, Sushila,
Section: s. 8(2)
Panel: CP
Note: M. Vaillancourt in attendance for staff
November 11-17, 2014
10:00 AM

November 19-21, November 25-December 1, December 3-5, 9-15, 17-19, 2014
January 14-16, 20-26, 28-30, February 3-9, 11-13, 17-23, 25-27 & March 3-6, 2015  10:00 AM

Ernst & Young LLP,
Section: 127 and 127.1
Panel: MGC/SBK
Note: Y. Chisholm in attendance for Staff
November 17, 2014
10:00 AM

November 19 - 28, 2014 10:00 AM
A25 Gold Producers Corp., Amar, David, Adams, James Stuart, Amar, Avi,
Section:
Panel: JEAT
Note: G. Smyth in attendance for staff

Related Information



















The Commissioners

Howard I. Wetston, Chair - HIW
James E. A. Turner, Vice-Chair - JEAT
Monica Kowal, Vice-Chair - MK
Catherine E. Bateman - CEB
James D. Carnwath - JDC
Mary G. Condon - MGC
Sarah B. Kavanagh - SBK
Edward P. Kerwin - EPK
Vern Krishna - VK
Deborah Leckman - DL
Alan J. Lenczner - AJL
Christopher Portner - CP
Judith N. Robertson - JNR
AnneMarie Ryan - AMR