Proceedings


Tribunal Resources


Rules of Procedure and Practice Guideline

The Rules of Procedure and Forms and the Practice Guideline apply to all proceedings before the Commission including proceedings commenced before their adoption. They apply to all proceedings where the Commission is required to hold a hearing or to afford to the parties to the proceeding an opportunity for a hearing before making a decision.

October 31, 2017 Rules of Procedure and Forms
October 31, 2017 Practice Guideline
October 31, 2017 Notice of Adoption of the Ontario Securities Commission's New Rules of Procedure and Forms and New Practice Guideline
April 20, 2017 Notice and Request for Comments Regarding the Rules of Procedure and Forms and Practice Guideline of the Ontario Securities Commission
Comments Received

Book of Authorities

The Book of Authorities contains cases that have been frequently cited in Commission decisions.

A party relying on a case listed in the Book of Authorities need not reproduce the case in its entirety when filing hearing materials for use by adjudicative panels of the Commission. See the Commission's Practice Guideline for details on the use of the Book of Authorities in tribunal proceedings.

August 28, 2018 Book of Authorities
   

Adjudication Guideline

The Adjudication Guideline sets out standards of conduct concerning the professional and ethical responsibilities of the Secretary to the Commission, Office of the Secretary staff, and the Members of the Ontario Securities Commission when performing an adjudicative function.

February 6, 2018 Adjudication Guideline