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  • Ontario Securities Commission
    2015 CSA News Release Canadian Securities Regulators Review Finds Room for Improvement in Mining Issuers Investor Presentations April 9 2015 CSA News Release Canadian securities regulators finalize rule amendments to reduce regulatory burden on venture issuers View More May 7 2015 Notice from the Office of the Secretary In the Matter of Edward Furtak et al May 7 2015 Notice from the Office of the Secretary In the Matter of Constance Anderson May 4 2015 Notice from the Office of the Secretary In the Matter of 7997698 Canada Inc carrying on business as International Legal and Accounting Services Inc et al May 1 2015 Notice from the Office of the Secretary In the Matter of Constance Anderson May 1 2015 Notice from the Office of the Secretary In the Matter Greenstar Agricultural Corporation and Lianyun Guan April 30 2015 Notice from the Office of the Secretary In the Matter of Paul Azeff et al April 30 2015 International Strategic Investments et al ss 127 127 1 View More May 11 15 2015 10 00 AM Quadrexx Hedge Capital Management Ltd Quadrexx Secured Assets Inc Miklos Nagy and Tony Sanfelice May 11 2015 10 00 AM David Charles Phillips and John Russell Wilson May 12 2015 11 30 AM Sino Forest Corporation Allen Chan Albert Ip May 15 2015 10 00 AM International Strategic Investments International Strategic Investments Inc May 20 2015 10 00 AM Portfolio Capital Inc David Rogerson and Amy Hanna Rogerson May 21 2015 9 00 AM Andre Lewis May 27 2015 10 00 AM 7997698 Canada Inc carrying on business as International Legal and Accounting Services Inc World Incubation Centre or WIC On John Lee also known as Chin Lee and Mary Huang also known as Ning Sheng Mary Huang View More April 30 2015 Changes to Companion Policy 45 501CP to OSC Rule 45 501 Ontario Prospectus and Registration Exemptions Relating to the Family Friends and Business Associates Exemption April 30 2015 Amendments to NI 45 102 Resale of Securities Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions April 30 2015 Amendments to OSC Rule 11 501 Electronic Delivery of Documents to the Ontario Securities Commission OSC Rule 13 502 Fees OSC Rule 91 501 Strip Bonds and OSC Rule 48 501 Trading during Distributions Formal Bids and Share Exchange Transactions Relating April 30 2015 Changes to Companion Policy 45 106CP Prospectus and Registration Exemptions Relating to the Family Friends and Business Associates Exemption April 30 2015 Amendments to NI 51 102 Continuous Disclosure Obligations Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions April 30 2015 Amendments to NI 25 101 Designated Rating Organizations Relating to the Short term Debt Prospectus Exemption and Short term Securitized Products April 30 2015 Changes to Companion Policy 45 501CP to OSC Rule 45 501 Ontario Prospectus and Registration Exemptions Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions View More Comments close June 1 2015 11 771 Statement of Priorities Request

    Original URL path: http://www.osc.gov.on.ca/ (2015-05-14)
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  • About
    Role Our Partners Our Structure Branches Offices Advisory Committees Governance Members of the Commission Board Committees Accountability Expense Disclosure International Activities International MOUs Foreign Delegations Dealing with the OSC Careers Why work at the OSC Top Reasons to Work at the OSC Applying for a Position Hiring Process Student Employment Programs Careers Frequently Asked Questions Current opportunities Contact Us Related Information Legislation OSC Strategic Plan 2012 15 Statement of Priorities OSC Annual Report Section Menu The Ontario Securities Commission OSC is an independent Crown corporation that is responsible for regulating the capital markets in Ontario Our statutory mandate is To provide protection to investors from unfair improper or fraudulent practices and to foster fair and efficient capital markets and confidence in capital markets We contribute to the health and performance of Ontario s economy by using our rule making and enforcement powers to help safeguard investors deter misconduct and regulate participants involved in capital markets in Ontario We regulate firms and individuals who sell securities and provide advice in Ontario We also regulate public companies investment funds and marketplaces such as the Toronto Stock Exchange Our powers are given to us under the Securities Act Ontario the Commodity Futures Act Ontario and certain provisions of the Business Corporations Act We operate independently from government and are funded by fees charged to market participants We are accountable to the Ontario Legislature through the Minister of Finance The history of the OSC dates back to 1928 when the Government of Ontario introduced the Security Frauds Prevention Act The province s securities regulator the Security Frauds Prevention Board was renamed the Ontario Securities Commission in 1933 Our goals Deliver responsive regulation Deliver effective enforcement and compliance Deliver strong investor protection Run a modern accountable and efficient organization Support and promote financial stability Our

    Original URL path: http://www.osc.gov.on.ca/en/About_about_index.htm (2015-05-14)
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  • Our Role
    Expense Disclosure International Activities International MOUs Foreign Delegations Dealing with the OSC Careers Why work at the OSC Top Reasons to Work at the OSC Applying for a Position Hiring Process Student Employment Programs Careers Frequently Asked Questions Current opportunities Contact Us Related Information Statement of Priorities OSC Annual Report OSC Org Chart Domestic MOUs Section Menu Our Role As a regulatory body the OSC administers and enforces compliance with the provisions of the Securities Act Ontario and the Commodity Futures Act Ontario Specifically we work to protect investors and foster fair and efficient markets by making and monitoring compliance with rules governing the securities industry in Ontario Making rules The OSC makes rules that aim to prevent misconduct and maintain the integrity of the markets Rule and policy development is a public process we publish proposed rules for public comment on our website and in the OSC Bulletin As part of policy development we consult with investors industry representatives and other groups Consultations are conducted in various ways including external conferences roundtables and formal and informal committees We have established several advisory committees including an Investor Advisory Panel to help us gather input on a variety of issues Monitoring compliance The OSC monitors market participants for compliance with Ontario securities law If we find that an individual or firm is not complying with the law and we cannot satisfactorily resolve our concerns with them we can take a number of actions For example the OSC can issue a cease trade order on an issuer s securities order a public company or investment fund to restate and refile its financial statements or impose terms and conditions on a registration Where appropriate we may take enforcement action Enforcing rules The OSC investigates alleged breaches of Ontario securities law such as misleading

    Original URL path: http://www.osc.gov.on.ca/en/About_our-role_index.htm (2015-05-14)
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  • Our Structure
    Menu Our Role Our Partners Our Structure Branches Offices Advisory Committees Governance Members of the Commission Board Committees Accountability Expense Disclosure International Activities International MOUs Foreign Delegations Dealing with the OSC Careers Why work at the OSC Top Reasons to Work at the OSC Applying for a Position Hiring Process Student Employment Programs Careers Frequently Asked Questions Current opportunities Contact Us Related Information OSC Org Chart Statement of Priorities OSC Annual Report Domestic MOUs Section Menu Our Structure The OSC is a self funded Crown corporation accountable to the Ontario Legislature through the Minister of Finance The OSC operates under the direction of the Commission The Commission The Commission has two related but independent roles It serves as the board of directors of the Crown corporation and it performs a regulatory function which includes making rules and policies and adjudicating administrative proceedings The Chair is both the Chair of the Board and the Chief Executive Officer as set out in the Securities Act Ontario The Commission consists of nine to 16 Members called Commissioners The Chair and Vice Chairs are full time Members and the other Members are part time One part time Member is elected by other part time Members to act as Lead Director whose duties include overseeing the operations of the Board and its committees The Chair each Vice Chair and each Member are separately appointed for a fixed term by the Lieutenant Governor in Council Appointments to the Commission are made according to the procedures of the Public Appointments Secretariat of the Government of Ontario The Member Profile sets out the areas of expertise skills and qualifications needed by the Commission to fulfil its duties Learn more about the current Members of the Commission The organization The Commission is supported by an Executive Director Chief Administrative

    Original URL path: http://www.osc.gov.on.ca/en/About_our-structure_index.htm (2015-05-14)
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  • Governance
    Board Committees Accountability Expense Disclosure International Activities International MOUs Foreign Delegations Dealing with the OSC Careers Why work at the OSC Top Reasons to Work at the OSC Applying for a Position Hiring Process Student Employment Programs Careers Frequently Asked Questions Current opportunities Contact Us Related Information Legislation Statement of Governance Practices Statement of Priorities OSC Annual Report OSC Org Chart Section Menu Governance The OSC is a self funded Crown corporation accountable to the Ontario Legislature through the Minister of Finance The OSC operates under the direction of the Commission The Commission has two related but independent roles It serves as the board of directors of the Crown corporation and it performs a regulatory function which includes making rules and policies and adjudicating administrative proceedings The Commission The Commission consists of nine to 16 Members called Commissioners The Chair and Vice Chairs are full time Members and the other Members are part time The Chair is both Chair of the Board and Chief Executive Officer as set out in the Securities Act Ontario One part time Member is elected by other part time Members to act as Lead Director whose duties include overseeing the operations of the Board and its committees The Chair each Vice Chair and each Member are separately appointed for a fixed term by the Lieutenant Governor in Council Every appointment to the Commission is made according to the procedures of the Public Appointments Secretariat of the Government of Ontario The areas of expertise skills and qualifications needed by the Commission to fulfil its duties are set out in the Member Profile Members of the Commission Remuneration schedule Board of directors As a board the Commission is responsible for overall stewardship of the OSC including overseeing the management of the OSC s financial affairs and approving

    Original URL path: http://www.osc.gov.on.ca/en/About_governance_index.htm (2015-05-14)
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  • Accountability
    Governance Practices Statement of Priorities OSC Annual Report Section Menu Accountability The OSC is a self funded Crown corporation accountable to the Ontario Legislature through the Minister of Finance The OSC operates under the direction of the Commission Memorandum of understanding with the Minister The Commission has a memorandum of understanding MOU with the Minister of Finance that describes the roles and responsibilities of the Minister the Commission s Chair Executive Director and Board of Directors It also describes the accountability relationship between the Commission and the Minister including detailed reporting requirements Under the Securities Act Ontario the Commission and the Minister are required to enter into a MOU every five years The most recent MOU is dated November 5 2009 Our priorities The OSC is responsible for setting its strategic direction and priorities and managing its operations Each year we are required to deliver to the Minister a Statement of Priorities which describes our priorities for the current fiscal year and the OSC Annual Report which contains audited financial statements and a description of our activities for that fiscal year Each year we publish our proposed Statement of Priorities for public comment on the OSC website and in the OSC Bulletin OSC Strategic Plan 2012 2015 Statement of Priorities OSC Annual Report Our conduct The OSC is committed to the highest standards of ethical conduct in all of its activities All Members of the Commission and employees are expected to comply with the OSC Code of Conduct and related policies OSC By law No 1 governs the conduct of the affairs of the OSC including matters related to management and administration As representatives of a Crown corporation the Members of the Commission and employees of the OSC are also subject to certain requirements of the Public Service of Ontario

    Original URL path: http://www.osc.gov.on.ca/en/About_accountability_index.htm (2015-05-14)
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  • International Activities
    of the Americas COSRA The OSC s international activities are focused on developing financial stability standards and on information sharing information and co operation on cross border enforcement initiatives Financial stability and enforcement are two key areas where collaboration with international partners is critical for protecting the interests of investors and the integrity of our markets Financial stability In the wake of recent global financial crises promoting financial stability has become a fundamental objective of financial market regulators The interconnected nature of global financial firms and financial markets has meant increasingly international and collaborative policy responses from both securities and prudential regulators The response by securities regulators to systemic risk has resulted in a number of commitments entered into by the G20 countries and the Financial Stability Board FSB IOSCO is playing a key role in reshaping the global regulatory system particularly in the areas of over the counter derivatives market integrity and efficiency financial market infrastructure and securitization The OSC is a member of the IOSCO Board an executive decision making body representing key securities regulators from the world s developed and developing capital markets as well as a number of IOSCO task forces and standing committees Recent work includes co chairing IOSCO s Task Force on OTC Derivatives Regulation which published a report on derivatives market intermediary oversight in 2012 The OSC also co chaired the IOSCO Working Group on Systemic Risk which published a discussion report on mitigating systemic risk in 2011 and is a member of the IOSCO Standing Committee on Risk and Research The OSC has also contributed to IOSCO initiatives relating to the oversight of hedge funds securitization markets short selling and derivatives and a revised code of conduct for credit rating agencies IOSCO is working to promote consistent implementation of its recommendations in

    Original URL path: http://www.osc.gov.on.ca/en/About_international-activities_index.htm (2015-05-14)
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  • Dealing with the OSC
    Careers Frequently Asked Questions Current opportunities Contact Us Related Information OSC Org Chart OSC Phone Directory Online complaint Tip Inquiry Form Accessibility at OSC Section Menu Dealing with the OSC The OSC strives to be an accessible accountable and transparent organization We are committed to respecting your privacy and protecting your personal information As a regulatory agency the OSC cannot provide financial advice or legal advice but we can help you get information and resources Contact us if you have questions or require assistance Complaints and tips If you have a complaint or tip call us or submit our online form Commission hearings Learn about Commission hearings and what to do if you are called to appear at a hearing Enforcement investigations Read this guide to find out how enforcement investigations and proceedings are conducted including the OSC s powers and your rights Foreign delegations ContactODIA osc gov on ca General inquiries Ontario Securities Commission 20 Queen Street West 22nd Floor Toronto ON M5H 3S8 Business hours Monday to Friday 8 30 a m to 5 00 p m Eastern Time Local Toronto Toll free North America TTY Fax E mail 416 593 8314 1 877 785 1555 1 866 827 1295 416 593 8122 Questions and Complaints inquiries osc gov on ca Media inquiries media inquiries osc gov on ca Procurement The OSC manages its procurement process in accordance with the mandatory requirements for Other Included Entities of the current Management Board of Cabinet Procurement Directive and relevant trade agreements such as the Agreement on Internal Trade AIT Learn more about the Ontario government s procurement policies and trade agreements For more information about procurement call us at 416 593 2153 Public records To request public records or for information relating to public records contact us at Local Toronto

    Original URL path: http://www.osc.gov.on.ca/en/About_dealing-with-the-osc_index.htm (2015-05-14)
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