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November 27, 2015 4:23 PM ET

Diversified Financial Services

Company Overview of Ontario Securities Commission

Company Overview

Ontario Securities Commission operates as an independent Crown corporation that is responsible for regulating the capital markets in Ontario. It regulates firms and individuals who sell securities and provide advice in Ontario; and regulates public companies, investment funds, and marketplaces, such as the Toronto Stock Exchange. The company administers and enforces the provincial Securities Act and the provincial Commodity Futures Act, as well as administers provisions of the provincial Business Corporations Act. It also works with Canadian securities regulators to harmonize legislation and regulatory practices for the benefit of the Ontario and Canadian capital markets; and various law enf...

20 Queen Street West

Suite 1903

Toronto, ON M5H 3S8


Founded in 1928





Key Executives for Ontario Securities Commission

Director of Corporate Finance
Chief Accounting Officer and Executive Director
Chief Administrative Officer and Executive Director
Director of Corporate Services
Director of Office of Domestic and International Affairs
Compensation as of Fiscal Year 2015.

Ontario Securities Commission Key Developments

Quadrus Investment Services Ltd. Reaches an Agreement with the Ontario Securities Commission to Pay $8 Million to Clients After Discovering they Paid Excess Fees on its Investments

Quadrus Investment Services Ltd. has reached an agreement with the Ontario Securities Commission to pay $8 million to clients after discovering they paid excess fees on their investments. The company voluntarily reported to the OSC in February that some clients had invested in mutual funds without being told they qualified for lower-cost funds because of the size of their holdings. The company said the problem came to light during an internal review launched after the company learned last November that three subsidiaries of Toronto-Dominion Bank had reached a similar settlement with the OSC. Quadrus reached its settlement agreement under the OSC's new program allowing no-contest settlements without admitting guilt. The OSC alleged there were inadequacies in Quadrus's systems of controls and supervision, and said the fund company 'failed to establish, maintain and apply' procedures that would have detected the fee problems at an early stage. However, the OSC said its staff found no evidence of dishonest conduct by Quadrus, and said the fund self-reported the issue to the OSC and provided 'prompt, detailed and candid cooperation' to OSC staff. The fund also volunteered to pay compensation to clients and has hired an independent third party to validate the process it is using to calculate the amount owed to clients. Quadrus has also agreed to use outside firms to help find former clients if there are any it cannot locate. The compensation includes payments for foregone profits over the period at a rate of 5% annually. The company will also voluntarily pay $250,000 to the OSC for investor protection and a further $20,000 to cover OSC costs.

Ontario Securities Commission Announces Executive and Management Changes

After five years, Howard I. Wetston, Q.C., Chair and CEO of the Ontario Securities Commission (OSC) will reach the end of his term on November 14, 2015. Mr. Wetston was appointed the Chair and CEO of the OSC in 2010. He was the Chair and CEO of the Ontario Energy Board from 2003 to 2010, and was a Vice-Chair of the OSC from 1999 to 2003. Upon completion of Mr. Wetston's term, OSC Vice-Chair Monica Kowal will become the Acting Chair of the OSC, effective November 15, 2015.

Ontario Securities Commission Presents at Canadian Fixed Income Conference 2015, Sep-30-2015 01:30 PM

Ontario Securities Commission Presents at Canadian Fixed Income Conference 2015, Sep-30-2015 01:30 PM. Venue: New York, United States. Speakers: Tracey Stern, Manager, Market Regulations.

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