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.
OSC tribunal reasons issued since 2004 are also available free of charge on the Canadian Legal Information Institute website (CanLII).
Commission hearings are generally open to the public. They are held at the OSC’s offices:
Ontario Securities Commission
20 Queen Street West
|Date and Time||Proceeding Information|
|« Previous||Page 2 of 2|
|July 3-5, 2018
Section: s. 127 and 127.1
M. Britton in attendance for Staff
|July 4, 2018
Section: s. 127
Note: A. Huculak in attendance for Staff
|July 25, 2018
Section: s. 127(1) and 127.1
Note: Y. Chisholm/J. Lynch in attendance for Staff
Section: s. 8(2)
Note: J. Superina in attendance for Staff
Section: s. 127(8)
L. DiGiulio in attendance for Staff