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Topic: Ontario Securities Commission

	Ontario Securities Commission - Wikipedia, the free encyclopedia
		The Ontario Securities Commission (OSC) is a regulatory agency which administers and enforces securities legislation in the Canadian province of Ontario.
		The OSC is an Ontario Crown corporation which reports to the Ontario legislature through the Minister of Finance.
		The OSC administers the Securities Act[1] and the Commodity Futures Act[2].
	en.wikipedia.org /wiki/Ontario_Securities_Commission (109 words)

	Ontario Securities Commission
		The Commission received approval from the Ministry of Finance to retain $12.0 million, which may only be used toward implementation costs of the proposed merger with the Financial Services Commission of Ontario as described in Note 12, and are subject to appropriate terms and conditions agreed with the Ministry of Finance, including:
		The Commission, together with the Alberta Securities Commission, the British Columbia Securities Commission, and the Investment Dealers Association is contingently liable for a $4.25 million assured payment in respect of the development of NRD.
		The Commission has reached a number of settlement agreements arising from enforcement proceedings where monies from these settlements are received or receivable by the Commission to be set aside and allocated to such third parties as the Commission may determine.
	www.osc.gov.on.ca /About/AnnualRpt/2003/nfs.html (1696 words)

	Ontario Ministry of Finance, Agencies (Site not responding. Last check: 2007-10-13)
		Ontario Electricity Financial Corporation was established by the Electricity Act, 1998 as legal continuation of former Ontario Hydro.
		Ontario Financing Authority, an agency of the Province of Ontario provides various services to OEFC: arranging, coordinating and managing borrowing, investment of funds and financial risk management, cash management, banking and accounting services.
		Ontario Electricity Pension Services Corporation, subsidiary of OEFC, provides pension services as agent of OEFC in its capacity as administrator of the Pension Plan.
	www.fin.gov.on.ca /english/agencies.html (824 words)

	Steve Janke: Angry in the Great White North (Archive by Category) (Site not responding. Last check: 2007-10-13)
		The Ontario Bar Association is demanding to see the legal opinion used by the authors of Bill 151, the omnibus bill in front of the Ontario legislature that undermines solicitor-client privilege by increasing the power of the Canadian Public Accountability Board, that justifies those powers.
		The CPAB is a creation of the Ontario Securities Commission (in concert with other provincial securities commissions), and in Bill 151, Dalton McGuinty's Liberals propose to require accountants to provide all material used to prepare audits to the CPAB for inspection, including material that is considered privileged.
		The Securities Act, which defines the powers of the Ontario Securities Commission, is undergoing changes because of Bill 151, the Ontario provincial budget bill (An Act to enact various 2006 Budget measures and to enact, amend or repeal various Acts).
	www.stevejanke.com /archives/cat_ontario_securities_commission.php (1592 words)

	Securities Regulation in Canada (Site not responding. Last check: 2007-10-13)
		Established as a provincial agency in the early 1930s, the Ontario Securities Commission's mission is to protect investors from unfair, improper or fraudulent practices.
		The Commissioners have overall responsibility to administer the securities legislation and are the board of directors for the Commission, responsible for directing its management and operation.
		In addition, the Ontario Securities Commission is a member of the Canadian Securities Administrators (CSA), the North American Securities Administrators Association (NASAA), the Council of Securities Regulators of the Americas (COSRA), and the International Organization of Securities Commissions (IOSC).
	www.investored.ca /en/library/osc/security_regulations_can.htm (382 words)

	Ontario Securities Commission to Beef Up Enforcement (Site not responding. Last check: 2007-10-13)
		That changed earlier this year when the Ontario Ministry of Finance, after years of negotiations with the OSC, agreed to allow the regulator to become self-funding.
		The move to self-funding has already allowed the OSC to increase its budget from $20 million (Canadian) for 1998 to $28 million for the next fiscal year.
		OSC directors have complained that as the province grew in importance as Canadas financial center, the commissions resources didnt keep pace.
	registeredrep.com /mag/finance_ontario_securities_commission/index.html (370 words)

	The Ontario Securities Commission cracks down on RESP sector 咨询电话
		The Ontario Securities Commission has blocked two of the leading players in Canada's burgeoning education savings plan sector from taking on new business and put a host of restrictions on others in a crackdown on an industry it says is rife with problems.
		The commission says it plans to closely monitor scholarship plan dealers and is considering new rules to better regulate the industry.
		The OSC says in its report that it found numerous problems at the funds, including: inadequate and ineffective supervision of sales staff; significant weaknesses in reviewing whether investments are suitable for clients; no review of trades by branch managers; and inadequate disclosure of the fees associated with purchasing scholarship plans.
	www.vaninvestor.com /You/RESP/OSC_cracksdown_resp.htm (948 words)

	Ontario Securities Commission YBM Magnex
		securities in Ontario, and as such is required to comply with the requirements of the Ontario Securities Act.
		The OSC is responsible for the administration and enforcement of the Securities Act.
		Commission staff is of the view that disclosure of an investigation relating to a Participant in a proposed public offering may be necessary to meet the standard.
	www.agaphil.com /AuditingArticles/secont.html (2101 words)

	Ontario Securities Commission: Rules & Regulation: Orders & Rulings
		Section 42(1) of the Insurance Act (Ontario) enumerates classes of insurers to whom licences may be issued, including "underwriters or syndicates of underwriters operating under the plan known as Lloyd's".
		Each of the Canadian Trust Fund and the Canadian Margin Fund is constituted to provide regulatory capital or "assets in Canada" as required under the Federal Insurance Companies Act for the protection of the interests of policyholders and not primarily as an investment fund for Members.
		IT IS RULED, pursuant to subsection 74(1) of the Act, that Lloyd's Corporation is not subject to the requirements of clause 25(1)(c) of the Act in connection with Lloyd's Corporation acting an adviser in respect of the assets that comprise the Canadian Trust Fund or the Canadian Margin Fund.
	www.uniset.ca /lloydata/ontario.htm (1362 words)

	Comments of Law Society of Upper Canada on S7-45-02
		The definition of "appearing and practicing" before the Commission is very broad, and as currently drafted covers the advice that Canadian lawyers provide on Canadian law to Canadian issuers in respect of their filings with the Commission.
		Ontario lawyers typically advise issuers that are subject to regulation by the Commission as to matters that involve the application of Canadian federal or provincial law; that advice is subject to regulation in Ontario.
		The "noisy withdrawal" requires the lawyer's withdrawal from representation, notice to the Commission that the withdrawal was based on "professional considerations" and disaffirmation of the issuer's documents filed with the Commission in which the lawyer was involved.
	www.sec.gov /rules/proposed/s74502/vkrishna1.htm (6172 words)

	EUGENE MEEHAN, Q.C. SUPREME COURT LAW - Case Studies & Precedents
		It is disingenuous for the Applicant to suggest, as it does in paragraphs 17 and 18 of the Applicant's Memorandum of Argument, that the Respondent's approach to the determination of relevance shifted the burden of proof to the Applicant by applying a so-called "not clearly irrelevant" standard.
		The Respondent requests that leave to appeal the decision of the Court of Appeal for Ontario, dated June 13, 2002, be dismissed.
		Ontario (Securities Commission), [2001] S.C.R. 132 at paras.
	www.supremecourtlaw.ca /english/library_precedents2.html (6081 words)

	[No title]
		The Commission's mandate is to provide protection to investors from unfair, improper or fraudulent practices and to foster fair and efficient capital markets and confidence in their integrity.
		The Applicant has applied to the local securities regulatory authority or regulator (the "Decision Maker") in each of the Jurisdictions for a decision under the securities legislation (the "Legislation") of the Jurisdictions to be deemed to have ceased to be a reporting issuer in the Jurisdictions.
		The local securities regulatory authority or regulator (the "Decision Maker") in each of the Jurisdictions has received an application from the Filer for a decision under the securities legislation of the Jurisdictions (the "Legislation") that the Filer be deemed to have ceased to be a reporting issuer or the equivalent thereof under the Legislation.
	www.oscbulletin.carswell.com /bb/osc/bb/2950/on2950.htm (12175 words)

	Our Money (Site not responding. Last check: 2007-10-13)
		In it, the OBA expresses its deep concern over the erosion of solicitor-client privilege and recommends that the courts, not the Ontario Securities Commission or the Canadian Public Accountability Board, be the arbiter of when that privilege is to be breached.
		Recently I wrote about a press release that showed how the Ontario Securities Commission was caught helping the Toronto Stock Exchange out of a jam by retroactively changing rules.
		Terence Corcoran of the National Post looks at the Ontario Securities Commission, and a recent ruling in which the courts essentially said that this was too complicated for the judges to understand, so they ruled that they hoped the OSC was right.
	angrygwn.mu.nu /index.php?menu=money (1643 words)

	Investment Dealers Association report challenges the role of the Ontario Securities Commission (Site not responding. Last check: 2007-10-13)
		One piece of legislation, the Securities Act, essentially devolves all the legislative burden with regards to securities to the OSC.
		Moreover, the OSC is working with other provincial and territorial securities commissions to "harmonize" the rules.
		I thought the issue with OSC powers was an academic problem, but now I'm starting to think the "average investor" is worried about this issue too.
	www.stevejanke.com /archives/199659.php (1582 words)

	DAIWA SECURITIES AMERICA INC.
		Daiwa Securities America Inc. was formed in 1964 as a wholly owned subsidiary of Daiwa Securities Co. Ltd.
		In 1999, Daiwa Securities Group Inc. was established as the ultimate holding company for the Daiwa corporate family.
		Also in 1999, the retail securities operations of Daiwa were segregated and moved into a new entity called Daiwa Securities Co. Ltd.
	www.daiwausa.com (213 words)

	The Ontario Securities Commission cracks down on RESP sector 咨询电话 (via CobWeb/3.1 ... (Site not responding. Last check: 2007-10-13)
		The OSC announced Thursday that it has uncovered numerous problems involving the business, sales and disclosure practices of six firms.
		OSC officials said Canadians with plans at these firms have no reason to worry about the safety of their investment, because the problems mainly deal with how the companies operate their business.
		The OSC, however, said the industry has been dragging its feet in dealing with the problems.
	www.vaninvestor.com.cob-web.org:8888 /You/RESP/OSC_cracksdown_resp.htm (951 words)

	EMS says Ontario Securities Commission probing trading of its stock
		"The OSC stated that the review was prompted by the company's announcement on Dec. 19, 2005, that it had signed a letter of agreement for a $20-million recapitalization and entered into settlement agreements with former chairman and CEO Frank D'Addario and related parties," the company said Tuesday in release.
		The troubled waste-management company, chaired by former Ontario premier Mike Harris, has been entangled in a lengthy legal dispute with D'Addario over control of the firm that he founded and ran until late 2004.
		The OSC, however, has now asked for a detailed chronology of events leading up to that announcement, including a list of all persons who were aware of the recapitalization and the D'Addario settlement agreement, EMS said.
	www.cbc.ca /cp/business/060110/b0110100.html (396 words)

	Ontario Securities Act, Regulations and Rules
		Dec 13/2006: Ontario Securities Act, Regulations and Rules, 41st Edition, 2007 should be released in December or in January 2007 (ISBN 0-459-24335-7.
		Consolidated Ontario Securities Act, Regulation and Rules, 40th Edition, 2006 is the trusted source for Ontario securities professionals.
		The 2006 edition fully incorporates all the legislative and Ontario Securities Commission developments that have occurred since the publication of the previous edition.
	www.fedpubs.com /subject/legis/ontsecur.htm (313 words)

	Courts Ordered To Defer To Ontario Securities Commission Rulings
		The Ontario Securities Commission (OSC) received a boost recently when the province's Court of Appeal upheld a trading ban that the Commission had imposed for insider trading.
		In November, the OSC announced that it intended to appeal the Divisional Court ruling, a move which has now resulted in the reinstatement of the 15 year ban.
		The Ontario Court of Appeal reportedly went further, ordering other courts to afford the Securities Commission's rulings a "high level of deference" because of its long experience in securities matters.
	www.lowtax.net /asp/story/storycan.asp?storyname=18758 (524 words)

	FIVE YEAR REVIEW COMMITTEE FINAL REPORT REVIEWING THE SECURITIES ACT (ONTARIO)
		Certain of our recommendations relate to issues that are already on the agenda of the Commission and/or the CSA, and our recommendations may be considered by the regulators in their current deliberations on these matters.
		In August 2002, David Brown, Chair of the Commission, wrote to the TSX, the CICA, the LSUC, the chairs of the 10 largest securities firms in the country, and numerous market participants seeking their views on initiatives in the U.S. relating to the Sarbanes-Oxley Act and the appropriate Canadian response to such initiatives.
		The 2002 Amendments include amendments to the Act that will increase the maximum penalties that can be imposed by a court for offences under section 122 of the Act from a fine of $1 million and imprisonment for two years to a fine of $5 million and imprisonment for five years less a day.
	www.fin.gov.on.ca /english/publications/2003/5yrsecuritiesreview2.html (1265 words)

	Canadian securities regulation - Wikipedia, the free encyclopedia
		The largest of the provincial regulators is the Ontario Securities Commission.
		Other significant provincial regulators are the British Columbia and Alberta securities commissions, and the Quebec regulator, Autorité des marchés financiers.
		The Canadian Securities Industry is also regulated by 3 self-regulatory organizations: the IDA (Investment Dealers Association), the MFDA (Mutual Fund Dealers Association), and RS (Market Regulution Services, Inc.) The Canadian Securities Administrators oversee these self-regulatory organizations and rely on them as front-line regulators of securities dealers and their representatives.
	en.wikipedia.org /wiki/Canadian_securities_regulation (218 words)

	Moose Pastures and Mergers: The Ontario Securities Commission and the Regulation of Share Markets in Canada, 1940-1980 ... (Site not responding. Last check: 2007-10-13)
		This study of securities regulation in Ontario is rooted in the records of the Ontario Securities Commission and, quite naturally, explores the arena in which stock market actors pushed up against the boundaries of the law.
		The thrust of these chapters is to show how dubious operators managed to use Canadian and Ontario law, and the weaknesses of the regulatory system, to drain the money from apparently hapless Americans into promoters' hands rather than into mining activity.
		Certainly the OSC's ability to act on behalf of the small investor, and to structure the system to allow fair competition and open access was limited.
	www.eh.net.cob-web.org:8888 /bookreviews/library/0442.shtml (1023 words)

	Former RBC Dominion Securities exec faces insider trading charges
		The charges laid Wednesday by the securities commission are part of the highest-profile investigation into insider trading in Canadian history, involving almost $2 million in illicit gains and the country's largest investment dealer.
		Canada's largest securities commission alleges that Rankin illegally tipped Duic to pending mergers and acquisitions before they were publicly known.
		The securities commission alleges that Duic bought and sold shares and/or options in 10 companies, including Canadian Pacific and Moffat Communications, using a pseudonym and through offshore accounts in several jurisdictions.
	www.cbc.ca /money/story/2004/02/04/rankin040204.html (1168 words)

	Macworld: News: ATI, Ontario Securities Commission reach settlement
		ATI Technologies Inc. has agreed to pay the Ontario Securities Commission CDN$900,000 to settle charges that the company misled investors and did not provide timely disclosure of an earnings shortfall in 2000.
		The OSC also said it will hold a hearing on Tuesday to consider a settlement reached with former ATI marketing administration manager Mary de la Torre and her husband, Allan Rae.
		The OSC is expected to convene a hearing to examine the allegations against the other executives named in the action later this week.
	www.macworld.com /news/2005/03/29/atiosc/index.php?lsrc=mcrss-0305 (489 words)

	OSC seeks to appeal the quashing of Rankin 'tipping' convictions (via CobWeb/3.1 planetlab2.cs.unc.edu) (Site not responding. Last check: 2007-10-13)
		The Ontario Securities Commission wants to appeal last month's decision to quash stock tipping convictions against former investment banker Andrew Rankin.
		However, an Ontario Superior Court Justice set aside the convictions in November, ruling that a lower court judge had failed to take into account inconsistencies in the testimony of the prosecution's key witness — Rankin's friend, Daniel Duic.
		In its application for leave to appeal, the OSC cited "the the harm caused by [Rankin's] offences, [and] the multiple errors of law committed by the … Appeal Court judge in quashing [Rankin's] convictions."
	www.cbc.ca.cob-web.org:8888 /money/story/2006/12/11/oscrankin.html (1006 words)

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