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OSC Guidance on assessment and investigation cooperation

By Kelly Osaka and Changhai Zhu
September 8, 2021
  • Environmental Litigation
  • Mining
  • Regulatory
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The Ontario Securities Commission (OSC) has recently released a Staff Notice, OSC Staff Notice 15-707 Enforcement Branch Enforcement Investigation Guidance, which provides guidance on how individuals and companies involved in OSC assessments and investigations should conduct themselves. In the Staff Notice, the OSC provides clarity on their assessment and investigation procedure. Additionally, the OSC provides recommendations on how individuals and companies can navigate specific situations commonly encountered in assessments and investigations.

We provide a summary of the OSC’s procedure and highlight the key takeaways from the OSC’s Staff Notice guidance document here.

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Kelly Osaka

About Kelly Osaka

Kelly Osaka is a member of the Litigation and Dispute Resolution group and the Privacy and Cybersecurity practice group. In particular, her practice focuses on shareholder disputes, class actions, privacy law claims and regulatory investigations. Kelly has appeared as counsel before all levels of court in Alberta and British Columbia, as well as the Alberta Securities Commission, the Investment Industry Regulatory Organization of Canada, and the Office of the Information and Privacy Commissioner.

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Changhai Zhu

About Changhai Zhu

Changhai is an associate in the Litigation and Dispute Resolution practice group of the Dentons' Calgary office.

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