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Frequently Asked Questions About Proceedings

The frequently asked questions and answers contained below are intended to assist self-represented parties, as well as any other applicants, respondents, witnesses and others involved in proceedings heard by the Ontario Securities Commission (which is referred to as the “Commission” or the “OSC”).

These questions and answers provide an overview of procedures for Commission proceedings. They provide general information only. Proceedings may vary and Panels may order different procedures than discussed here. You should review both the Commission’s Rules of Procedure and Forms and the Commission’s Practice Guideline when preparing for a hearing. If there is a discrepancy between the information contained below and the Rules of Procedure and Forms or the Practice Guideline, then the Rules of Procedure and Forms and/or the Practice Guideline will apply.

This is not a legal document and does not give any legal advice. If you have questions about a matter that involves you, consider contacting a lawyer or paralegal. If you are involved in an enforcement proceeding, you may be eligible to apply for a volunteer lawyer to assist you through the Litigation Assistance Program (the “LAP”). For more information on the LAP, see the section on “Representation” in Part 3.

The Office of the Secretary cannot provide legal advice.