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.

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
17th floor
Toronto, ON
M5H 3S8
 

Upcoming Proceedings

UPDATE as of July 31, 2020 - The Ontario Securities Commission (OSC) is taking all necessary precautions to protect the health and safety of its employees and the public as we respond to challenges due to COVID-19. The OSC will not be holding in-person hearings until further notice. In the meantime, the Office of the Secretary will reach out to parties with hearings scheduled up to and including November 30, 2020 to determine if a hearing may proceed via videoconference, teleconference or in writing should an in-person hearing still not be possible. 
 
A member of the media or public who wishes to observe a videoconference hearing may select the “Register to attend” link below on the hearing date and time indicated. A member of the media or public who wishes to hear a teleconference hearing may email their request to the Registrar at registrar@osc.gov.on.ca at least two business days in advance of the hearing, indicating their name, email address and the hearing they wish to hear. The Registrar will provide the requestor with dial-in information on how to hear the proceeding. Requests received less than two business days in advance of the teleconference hearing may not be able to be accommodated. The Secretary’s Office will update the upcoming proceedings below as more information is made available.


 

Date and Time Proceeding Information
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