Tribunal Resources


Frequently Asked Questions About Proceedings

The Frequently Asked Questions About Proceedings is intended to assist individuals and parties involved in proceedings before the Ontario Securities Commission tribunal by answering frequently asked questions and providing a general overview of procedures that can be expected in tribunal proceedings in a user-friendly format.

October 30, 2018 Frequently Asked Questions About Proceedings

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.

December 10, 2019 Rules of Procedure and Forms
December 10, 2019 Practice Guideline
December 10, 2019 Notice of Adoption of Amendments to the Ontario Securities Commission’s Rules of Procedure and Forms and Practice Guideline
July 23, 2019 Downloadable Forms

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

Tribunal Metrics

Third Quarter Q3 2019-2020 (October 1, 2019 to December 31, 2019)
Second Quarter Q2 2019-2020 (July 1, 2019 to September 30, 2019)
First Quarter Q1 2019-2020 (April 1, 2019 to June 30, 2019)
Fourth Quarter and Annual Fiscal 2019-2020