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Tribunal resources

Guide to OSC Tribunal Proceedings

The Guide to OSC Tribunal Proceedings is intended to assist individuals and parties involved in proceedings before the Ontario Securities Commission (OSC) Tribunal. It provides an overview and information about the OSC Tribunal’s procedures.

Rules of Procedure and Forms

The Rules of Procedure and Forms (the Rules) govern all proceedings held before the OSC Tribunal. The objective of the Rules is to ensure that proceedings are conducted in a just, expeditious and cost-effective manner. They apply to all proceedings before the OSC Tribunal.

Downloadable forms are available for use by a party.

Practice Guideline

The Practice Guideline assists with the application of the Rules and sets out timelines for procedural steps in a proceeding. The Practice Guideline applies to all proceedings before the OSC Tribunal. The Practice Guideline also includes the Index File Template form.

Book of Authorities

The Book of Authorities contains cases that have been frequently cited in Commission decisions.

When filing hearing materials with the OSC Tribunal, a party relying on a case listed in the Book of Authorities does not need to reproduce the case in its entirety. Refer to the Commission's Practice Guideline for details on the use of the Book of Authorities.

Assistance for self-represented parties

The Litigation Assistance Program (LAP) and Duty Counsel Program (DCP) are designed to provide assistance to self-represented parties who are involved in an enforcement proceeding or an Application for Hearing and Review proceeding before the OSC Tribunal.

Guide to Virtual Hearings before the OSC Tribunal

The Guide to Virtual Hearings before the OSC Tribunal provides general information about the conduct of virtual hearings, detailed direction for parties, witnesses and members of the public, and the technical and device requirements for attending a virtual hearing.