OSC News
@OSC_News
News and info from Ontario’s capital markets regulator. Français: @CVMO_Nouvelles Mandate: http://bit.ly/2REvvVr Social media policy: http://bit.ly/3fop7L2
On August 25, the OSC's Leslie Byberg, EVP, Strategic Regulation and Levin Karg, Head of Modernizing Regulation, Thought Leadership, will be participating on a panel on regulatory developments shaping corporate governance in Canada, moderated by the OSC's Josée Turcotte, EVP,…
The OSC recently published its draft Action Plan for Truth and Reconciliation (APTR) and is seeking feedback from rightsholders, Indigenous organizations, market participants, regulators, investors and investor advocates on its vision for Truth and Reconciliation, including the…
OSC publishes the RIE Division 2025 Annual Report: ow.ly/9XQG50WuQ8L The OSC has published its Registration, Inspections and Examinations (RIE) Division annual report for 2025. While this report focuses primarily on registered firms and individuals directly overseen by the…
CSA announces exemptions for investment funds to facilitate access to the Bank of Canada’s Contingent Term Repo Facility: ow.ly/liUC50WuKvS The @CSA_News issued coordinated blanket orders granting exemptive relief to facilitate access to the @bankofcanada’s (the Bank)…
Stéphane Gagnon sentenced to five years and ordered to pay over $7.75 million: ow.ly/aEEb50WuaJh The OSC announced that Stéphane Gagnon, formerly of Ottawa, Ontario was convicted on one count of Fraud over $5,000 contrary to Section 380(1)(a) of the Criminal Code (Code)…
Canadian securities regulators publish CIRO oversight review report: ow.ly/rL3e50Wu3FE The @CSA_News released the Oversight Review Report of the Canadian Investment Regulatory Organization (@CIRO_OCRI). The report evaluates whether CIRO has complied with the terms and…
In case you missed it, the @CSA_News recently published for comment more details on its proposed framework for an independent dispute resolution service with binding authority, anticipated to be the @Ombudsman_OBSI: ow.ly/I0lp50WsOtQ The CSA is seeking feedback on proposed…
We're #hiring! Are you a sharp legal mind with courtroom confidence, top-tier advocacy skills and a passion for securities law and regulation? The OSC is seeking a Senior Litigation Counsel to join the Enforcement Division to support the investigations of quasi-criminal and…
The OSC has a web-based resource to assist investors who may be experiencing distress, whether related to investment losses or other challenges. It features a curated list of websites and tools aimed at addressing investor inquiries and connecting individuals with community…
In case you missed it, the OSC's "Registrant Outreach: Interesting Conduct Files" webinar is taking place next week on July 22 from 2 to 3:30 p.m. Tune in to learn more about the regulatory tools used by the OSC in identifying registrant misconduct, and how to avoid and…
Join us on July 22 for the OSC's "Registrant Outreach: Interesting Conduct Files" webinar, offered as part of the OSC's Registrant Outreach program. The OSC will discuss a forthcoming publication of noteworthy cases that resulted in regulatory action on the registration of…
Effective dispute resolution not only promotes fairness and transparency and also builds trust and confidence among investors. It is necessary to provide investors with the assurance that their concerns will be addressed promptly and fairly. ow.ly/YIp750WpPO9
CSA consults on proposed process refinements and oversight for a dispute resolution service for investor complaints: ow.ly/aLbs50WpXvb The @CSA_News has provided for comment more details on the proposed framework for an independent dispute resolution service with binding…
We're #hiring! The OSC is seeking a Team Lead to join the Case Assessment Team of the Enforcement Division to effectively triage files, identify relevant misconduct for investigation, recommend appropriate outcomes on a timely basis, and conduct simpler disruptions. If you find…
The OSC's whistleblower program accepts tips on possible violations of Ontario securities law, offers protections for individuals who come forward, as well as a reward of up to $5 million for tips that lead to enforcement action. Visit the OSC’s website to…
We're #hiring! The OSC is seeking a Chartered Professional Accountant - Compliance to join the Registration, Inspections & Examinations Division to conduct risk-based reviews of market participants in the securities industry. If you find this opportunity aligns with your…
CSA announces final amendments to Multilateral Instrument 13-102 System Fees: ow.ly/NSE450WnRc0 The @CSA_News published in final form amendments to Multilateral Instrument 13-102 System Fees (MI 13-102). The CSA is increasing system fees for SEDAR+ and the National…
Usman Asif charged with fraud and contravening an Ontario Securities Commission order: ow.ly/y5hh50WnIbF The OSC announces that Mr. Usman Asif has been charged with fraud, contrary to s. 126.1(1)(b) of the Securities Act, as well as breaching a cease trade order.
OSC and CIRO report highlights sales culture concerns at Canada’s largest bank-affiliated dealers: ow.ly/rki450WmY78 The OSC and the @CIRO_OCRI have published their report; Sales Culture Concerns at Five of Canada’s Bank-Affiliated Dealers. The report presents survey…
OSC publishes draft Action Plan for Truth and Reconciliation: ow.ly/Tra850Wmu6s The OSC published its draft Action Plan for Truth and Reconciliation (APTR) for engagement and is seeking feedback from interested or affected parties, including rightsholders in Ontario,…
OSC Investor Alert: JC Team Capital Inc. and Parthkumar Jani: lnkd.in/giXYyWzD
