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OSC Proceeds with New Initiatives to Strengthen Enforcement

  • Securities - OSC Image

Mar 11, 2014

On March 11, the Ontario Securities Commission announced that its Staff is proceeding with four enforcement initiatives.

These enforcement initiatives were originally proposed on October 21, 2011 in OSC Staff Notice 15-704, Request for Comments on Proposed Enforcement Initiatives:

  1. A new program to facilitate the settlement of appropriate enforcement cases in circumstances where the respondent does not make formal admissions respecting its misconduct (sometimes referred to as no-contest settlements);
  2. A new program for explicit no-enforcement action agreements;
  3. A clarified process for self-reporting under Staff’s credit for cooperation program; and;
  4. Enhanced public disclosure by Staff of credit granted to persons for their cooperation during enforcement investigations.

Review the press release.

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