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Reducing Regulatory Burden in Ontario’s Capital Markets

Office of the Whistleblower

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What's New

November 19, 2019 OSC News Release: OSC makes doing business easier for Ontario market participants
November 15, 2019 OSC News Release: OSC seeks applications for the Securities Proceedings Advisory Committee
November 13, 2019 OSC Media Advisory: Dialogue 2019: Regulation for Confidence and Growth
November 12, 2019 CSA News Release: Canadian securities regulators sign fintech co-operation agreement with the Monetary Authority of Singapore
November 12, 2019 CSA News Release: Canadian securities regulators outline corporate governance disclosure expectations for cannabis issuers
November 8, 2019 OSC News Release: OSC appoints Deana Djurdjevic as Chief Administrative Officer, newly created role
October 31, 2019 OSC News Release: OSC announces Financial Literacy Month activities

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December 6, 2019 Notice from the Office of the Secretary: The Catalyst Capital Group Inc. et al., File No. 2019-41
December 5, 2019 Notice from the Office of the Secretary: The Catalyst Capital Group Inc. et al., File No. 2019-41
December 4, 2019 Notice from the Office of the Secretary: Aly Babu Husein Mawji, File No. 2019-38
December 3, 2019 Notice from the Office of the Secretary: The Catalyst Capital Group Inc. et al., File No. 2019-41
December 3, 2019 Notice from the Office of the Secretary: First Global Data Ltd. et al., File No. 2019-22
November 28, 2019 Notice from the Office of the Secretary: Farhang (Fred) Dagostar Nikoo, File No. 2019-36
November 22, 2019 Notice from the Office of the Secretary: VRK Forex & Investments Inc. and Radhakrishna Namburi, File No. 2019-40

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December 11, 2019 10:00 AM - The Catalyst Capital Group Inc. and Hudson’s Bay Company, Richard A. Baker, Lisa Baker, Lisa and Richard Baker Enterprises, LLC, Red Trust, Yellow Trust, Blue Trust, Robert Baker, Christina Baker, A Trust for Bettina Jane Richman
December 12, 2019 10:00 AM - Sean Daley and Kevin Wilkerson
December 13, 2019 10:00 AM - Majd Kitmitto, Steven Vannatta, Christopher Candusso, Claudio Candusso, Donald Alexander (Sandy) Goss, John Fielding and Frank Fakhry
December 16, 2019 10:00 AM - BDO Canada LLP
December 19, 2019 10:00 AM - VRK Forex & Investments Inc. and Radhakrishna Namburi
January 9, 2020 10:00 AM - Issam El-Bouji
January 24, 2020 10:00 AM - Majd Kitmitto, Steven Vannatta, Christopher Candusso, Claudio Candusso, Donald Alexander (Sandy) Goss, John Fielding and Frank Fakhry

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November 19, 2019 Reducing Regulatory Burden in Ontario’s Capital Markets
November 14, 2019 OSC Staff Notice 11-737 (Revised) - Securities Advisory Committee - Vacancies
November 12, 2019 CSA Multilateral Staff Notice 51-359 Corporate Governance Related Disclosure Expectations for Reporting Issuers in the Cannabis Industry
October 24, 2019 Notice of Ministerial Approval of Amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees
October 24, 2019 Amendments to OSC Rule 13-503 Fees (Commodity Futures Act) Fees
October 24, 2019 Amendments to OSC Rule 13-502 Fees
October 3, 2019 CSA Notice and Request for Comment - Proposed Amendments to National Instrument 52-108 Auditor Oversight and Proposed Changes to Companion Policy 52-108 Auditor Oversight

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Comments closes: December 11, 2019 CSA Notice and Request for Comment Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1
Comments closes: January 2, 2020 CSA Notice and Request for Comment - Proposed Amendments to National Instrument 52-108 Auditor Oversight and Proposed Changes to Companion Policy 52-108 Auditor Oversight

December 5, 2019: Investor Warning: Red Maple FX Inc.
December 5, 2019: Investor Warning: ClickPort International
December 4, 2019: Investor Warning: Olympus Markets
November 19, 2019: Investor Warning: Global Options Trade Inc.
November 18, 2019: Investor News: Preparing for the Unexpected; New Emergency Fund Calculator; New Quiz; Reverse Mortgages; Elder Financial Abuse; Celebrity Endorsements
October 31, 2019: Investor News: It's Financial Literacy Month; Robo-advisors; New CAF Resource Hub; Mutual Fund Fee Calculator; Investor Quiz; Personal Info Inventory
October 23, 2019: Investor News: Client-Focused Reforms; Working with an Advisor; Paycheque Deductions; Stocks; Fraud Trick-Email Spam Attack; Investment Risk & more
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Office of the Whistleblower

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Quick Links

Instruments, Rules & Policies

Proposed and final securities instruments, rules and policies overseen by the OSC.

Investors

Information regarding OSC efforts to protect and raise awareness among investors.

FAQs

Frequently asked questions about investing in the market and the securities industry.

Check Registration

Search to determine of if an individual or firm is registered in Canada.

Dealers, Advisers and Investment Fund Managers

A basic outline of how the OSC regulates and works with Dealers, Advisers and Investment Fund Managers.

Questions & Complaints

How investors can reach the OSC to get help regarding a company, product or individual.

OSC’s Electronic Filing Portal

Documents for filing electronically through the OSC's web filing portal.

Marketplaces, SROs & Clearing Agencies

Information on how the OSC oversees marketplaces, SROs, clearing agencies, and investor protection funds in Ontario.

Working at the OSC

Learn more about career opportunities at the OSC.

The official record of the activities of the OSC, published weekly online.

Companies

A basic guide including how to comply with Ontario securities law and file certain documents with the OSC.

Investor Warnings

Information about individuals and companies that appear to be engaging in activities that may pose a risk to investors.