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Reference Help

OSC Resources

  • The OSC Bulletin is our weekly publication that contains our Decisions, Notices, Rules/Instruments & other regulatory changes, Requests for Comments about upcoming Rule changes, Insider Reporting reports, new IPOs, Registrations / Registrants, SRO Notices and other information.  All issues in PDF form dating back to 1949 - present (Library intranet).
  • NewsScan, our morning email, is a useful resource to see what is happening at the Commission as well as active companies that may be on our radar.

About the OSC

OSC decisions are found in the OSC Bulletin:

  • The Library has digitized the OSCB from its' first issue to the most recent, in PDF form. To search the full-text of the OSCB via Westlaw Next - Securities Source (the link is in a column on the right-hand side of SS.)

OSC Enforcement actions are often referred to be the section of the Act that they are being pursued under:

  • 122   s. 122 of Act provides that certain conduct is an offence punishable by a fine or imprisonment.  This is a quasi-criminal prosecution tried in the Ontario Court of Justice commonly called the Provincial Offences Court.  Currently s. 122 offences are handled by the Joint Serious Offenses Team (JSOT).
  • 127   s. 127 the Commission will determine if there has been a breach of the Ontario securities law or other conduct which offends the spirit of the law - is it in the "public interest" for the Commission to act.  Sanctions may include financial penalties, bans on activities in the capital markets, CTOs, banning individuals, or removal of exemptions.  These proceedings are regulatory in nature, not criminal or civil, and are brought before the Commission for an administrative hearing based upon a statement of staff's allegations (published on our website). 
  • 128  s. 128 provides a civil remedy to the Commission to protect investors from unfair, improper and fraudulent conduct and to enhance the integrity of Ontario's capital markets.   The Commission may apply to the Superior Court of Justice for a declaration that a person or company is not complying with Ontario securities law.
  • 144  s. 144 provides the discretion of the Commission to revoke or vary (change) a Commission decision.  The Commission will only do this if  there is new and compelling evidence, or a significant and relevant change in the circumstances and is the Commission is satisfied that is would not be prejudicial to the public interest. 

Settlement Agreements from our Enforcement Branch can be searched for on WLN.  

  • Search:  approv! /10 settlement /2 agreement
  • Then narrow the results by Cases and Decisions and then Ontario

Other Resources

Decisions / Rulings / Orders including CTOs

Noting Up

 Noting Up / Judicial Consideration of cases and decisions

Once you have found a key decision, you must note it up to see it the law is still good - has your decision been over-turned or positively considered by other judges.