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
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Section: s. 127(1) and 127.1
Note: A. Qian in attendance for Staff