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OSC Announces Results of Enforcement Activity in 2014

  • Securities - OSC Image

Mar 02, 2015

On March 2, 2015, the Ontario Securities Commission released the results of its 2014 enforcement activities where it recognizes the importance of a strong and visible enforcement presence to public confidence in the capital markets.

Proceedings were concluded against a total of 91 individuals and companies in 2014. Of these, 87 respondents had their proceedings concluded before the tribunal of the Commission. In the other matters, two defendants had their cases concluded before the court under provincial securities legislation and two defendants by way of court proceedings under the Criminal Code.

Of the four concluded court proceedings, two defendants received jail terms. One was sentenced to three years in jail after pleading guilty to two charges contrary to the Criminal Code. Another was sentenced to 60 days in jail for breaching the Securities Act (Ontario), following a quasi-criminal proceeding. Both jail sentences were handed down following investigations by the OSC in partnership with police services.

Review the results.

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