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 April 27, 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 August 31, 2020 to determine if a hearing may proceed via teleconference, in writing or by video conference should an in-person hearing still not be possible. 

 

A member of the media or the public who wishes to hear/observe a remote hearing may email their request to registrar@osc.gov.on.ca at least two business days in advance of the hearing. The person requesting access should provide their name, the hearing they wish to hear/observe, and their contact information. The Registrar will make every effort to provide the requestor with information on how to hear/observe the proceeding. The Secretary’s Office will update the upcoming proceedings below as more information is made available.


 

Date and Time Proceeding Information
« Previous  Page 2 of 2
December 16, 2020
9:00 AM

Miller, David Randall,
Section: 127(1) and 127.1
Panel: Timothy Moseley
Note: C. Galbraith in attendance for Staff
January 18, 2021
10:00 AM

January 19, 21, 22, 25, 26, 28 & 29, 2021

10:00 AM

Miller, David Randall,
Section: 127(1) and 127.1
Panel: To be announced
Note: C. Galbraith in attendance for Staff