Industry

Director's Decisions

Firms and individuals have the right to a hearing with the Director before the OSC:

  • imposes terms and conditions on a registration, or
  • refuses an application for registration, reinstatement of registration, or amendments to a registration.

This is known as an “opportunity to be heard”.

An opportunity to be heard is normally conducted in writing, although it can be conducted in person. The Director will issue a decision on the matter in writing to the firm or individual, and to OSC staff. The firm or individual has the right to ask the OSC to review the Director’s decision.

Listed below are Director’s decisions relating to opportunities to be heard since 2003.

This page presents decisions of the Director on registration matters arising out of Opportunities to be Heard according to topic. The headings used on this page represent some of the main issues that arise in these Director decisions.

The fact that a decision is listed under a particular heading means that the conduct described by the heading was alleged in the case, and not necessarily that the Director found the individual or company responsible for the conduct. In addition, some decisions involve more than one issue and accordingly they appear under multiple headings. Stakeholders should read a decision in full before referring to it for any purpose.

This page includes decisions of the Director on registration matters that have been issued since March 12, 2003, however stakeholders should determine whether there are any earlier decisions of the Director or the Commission that may be relevant for their purposes. Decisions of the Director and the Commission can be found in the OSC Bulletin.

This page is for informational purposes only, and is not intended to be legal advice. Stakeholders may wish to consult legal counsel if they have any questions about the application of a particular decision to their own circumstances.