The Capital Markets Tribunal is an independent division of the Ontario Securities Commission established by the Securities Commission Act, 2021. The Commission regulates Ontario’s capital markets by making rules that have the force of law and by adopting policies that influence the behaviour of capital markets participants. The Tribunal has exclusive jurisdiction to exercise the powers conferred to it under the Ontario Securities Act and the Commodity Futures Act and to determine all questions of fact or law in any proceeding before it under those Acts.
The Capital Markets Tribunal uses rules, forms and a practice guideline that are virtually identical to those used by the former OSC tribunal. Changes have been made to reflect the establishment of the new tribunal. Tribunal resources are available on the Capital Markets Tribunal website.
Decisions, reasons and orders that were made by the former OSC tribunal are to be treated as decisions, reasons and orders of the Capital Markets Tribunal. Orders of the former tribunal may be varied by the Capital Markets Tribunal under the appropriate circumstances.
The new Governance & Tribunal Secretariat (formerly the Office of the Secretary), continues to support the tribunal and its Adjudicators. Notices that used to come from the Office of the Secretary will now come from the Governance & Tribunal Secretariat. Communications to the Governance & Tribunal Secretariat should be addressed to the Registrar.
For questions or concerns regarding any of the above information, please contact the Registrar.