Posts Tagged 'OSC'

An Overview of OSC Enforcement Proceedings

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Ontario’s capital markets are overseen by the Ontario Securities Commission (OSC). Contraventions of securities laws are investigated by a branch of the OSC known as Enforcement staff.

Enforcement staff have broad powers to carry out their investigations. Under section 127 of the Securities Act (Ontario), Enforcement staff derive their authority to commence proceedings against both individuals and companies suspected of either violating securities laws or acting against the public interest. These proceedings take place at the OSC and are administrative hearings. ...

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