We investigate allegations of misconduct in the capital markets and can initiate proceedings against individuals or companies suspected of violating securities law or acting contrary to the public interest. These enforcement proceedings are heard before the Commission.
The Commission also conducts hearings on regulatory matters, such as takeover bids and reviews of decisions made by OSC staff, self-regulatory organizations, exchanges and clearing agencies.
The OSC also has the authority to prosecute alleged breaches of securities law against defendants in the Ontario Court of Justice. In these cases, the OSC is seeking sanctions and penalties from the court to send a strong message of deterrence. Matters under appeal from decisions of the Commission are heard by the Divisional Court. This section contains news releases related to open and completed OSC proceedings before the courts. This includes matters related to applications to court under section 128 of the Securities Act (Ontario) and appointment of receiver under section 129 of the Act. Contact the Library for assistance with these searches.
This database only contains exemptive relief decision documents issued by the OSC as principal regulator under NP 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions since March 17, 2008
A Cease Trade Order is a decision issued by a provincial or territorial securities regulatory authority or similar regulatory body against a company or an individual. Orders are issued for reasons such as failing to meet disclosure requirements or as a result of an enforcement action that involves an investigation of potential wrongdoing.
Securities Act
Bluebook contains the Consolidated Act and Instruments, etc. It is published twice a year by Carswell. Please contact the Library for a print copy.
Electronic form on Proview [requires a Westlaw Password from the Library]
Can annotate and search this version, annotations are carried forward to new editions
Historical Editions
PDFs of historical versions of the Act are available from 1949 forward.
To search historical versions, please contact the Library for access to Securities Source.
PDF
If you need a portable, electronic copy of the Bluebook, please contact the Library.
National Instruments / Rules
Current consolidated NIs are searchable on Securities Source [requires a Westlaw Password from the Library]
