Proceedings


All Commission Proceedings


This section contains documents relating to Commission proceedings, such as notices of the Office of the Secretary, notices of hearing, statements of allegation, decisions, reasons for decisions and settlements.

The documents are listed by respondent, according to the date the document was signed. The respondent is the individual or company that is the subject of a proceeding.

OSC tribunal reasons issued since 2004 are also available free of charge on the Canadian Legal Information Institute website (CanLII).

For decisions relating to exemptive relief applications and other matters, see Orders, Rulings & Decisions.

June 18, 2018Notice from the Office of the Secretary: Benedict Cheng et al.
June 15, 2018Notice from the Office of the Secretary: Benedict Cheng et al.
June 14, 2018Notice from the Office of the Secretary: Crystal Wealth Management System Limited et al.
June 14, 2018Notice from the Office of the Secretary: Clayton Smith, File No. 2018-35
June 14, 2018Notice from the Office of the Secretary: Wayne Loderick Bennett, File No. 2018-24
June 14, 2018Notice from the Office of the Secretary: Caldwell Investment Management Ltd., File No. 2018-36
June 13, 2018Notice from the Office of the Secretary: Royal Mutual Funds Inc., File No. 2018-31
June 13, 2018Notice from the Office of the Secretary: Benedict Cheng et al.
June 13, 2018Notice from the Office of the Secretary: Peter Volk, File No. 2018-27
June 11, 2018Notice from the Office of the Secretary: Peter Volk, File No. 2018-27
June 8, 2018Notice from the Office of the Secretary: Donna Hutchinson et al.
June 8, 2018Notice from the Office of the Secretary: Royal Mutual Funds Inc., File No. 2018-31
June 8, 2018Notice from the Office of the Secretary: Clayton Smith, File No. 2018-35
June 7, 2018Notice from the Office of the Secretary: IPC Securities Corporation et al., File No. 2018-32
June 6, 2018Notice from the Office of the Secretary: Issam El-Bouji, File No. 2018-28
June 5, 2018Notice from the Office of the Secretary: IPC Securities Corporation et al., File No. 2018-32
June 4, 2018Notice from the Office of the Secretary: The Mutual Fund Dealers Association of Canada, File No. 2017-75
June 4, 2018Notice from the Office of the Secretary: John Richard Wolfenden, No. 2017-76
June 1, 2018Notice from the Office of the Secretary: Harald Seemann et al., File No. 2018-19
June 1, 2018Notice from the Office of the Secretary: Harald Seemann et al., File No. 2018-19
June 1, 2018Notice from the Office of the Secretary: Harald Seemann et al., File No. 2018-19
June 1, 2018Notice from the Office of the Secretary: Dennis L. Meharchand et al.
May 30, 2018Notice from the Office of the Secretary: Omega Securities Inc., File No. 2017-64
May 30, 2018Notice from the Office of the Secretary: Omega Securities Inc., File No. 2017-66
May 30, 2018Notice from the Office of the Secretary: Harald Seemann et al., File No. 2018-19
May 29, 2018Notice from the Office of the Secretary: Harald Seemann et al., File No. 2018-19
May 29, 2018Notice from the Office of the Secretary: Donna Hutchinson et al.
May 25, 2018Notice from the Office of the Secretary: Global RESP Corporation, File No. 2018-26
May 25, 2018Notice from the Office of the Secretary: Klaas Vantooren, File No. 2018-2
May 25, 2018Notice from the Office of the Secretary: Issam El-Bouji, File No. 2018-28