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Staff Notice 15-704, New OSC Initiatives to Strengthen Enforcement [Completed]

Issued in March 2014.

Transitional provisions:

Not applicable.

Last updated:

March 2014


The four enforcement initiatives are as follows:

  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.

Recent activities

March 2014

On March 11, 2014, the OSC announced that its Staff is proceeding with four enforcement initiatives that were proposed in OSC Staff Notice 15-704, Request for Comments on Proposed Enforcement Initiatives, in October 2011.


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