BAX Securities Law is one of the leading boutique law firms in Canada assists clients with matters regulated by the Ontario Securities Commission (OSC), is an independent Crown agency regulating Ontario’s capital markets. The OSC protects investors from unfair or fraudulent practices, fosters fair/efficient markets, and oversees market participants by enforcing the Securities Act and Commodity Futures Act. It acts as a primary regulator for investment firms and advisors in Ontario.
The Ontario Securities Commission (OSC), the Autorité des marchés financiers (AMF) and the Canadian Investment Regulatory Organization (CIRO) (the Canadian Securities Regulators), have granted approval for Project Samara, an experimental tokenization research project conducted by…
The Ontario Securities Commission (OSC) has published OSC Staff Notice 33-760 Digital Engagement Practices: Focused Compliance Examination of Online Retail Platforms (The Staff Notice). The Staff Notice outlines the regulator’s findings and provides guidance on…
As part of its drive to for increased transparency and to encourage compliance in the exempt market, the Ontario Securities Commission has published the AFS Non-Delivery List (the AFS List), a list of non-reporting issuers…
The Ontario Securities Commission (OSC) recently provided an update on OSC TestLab: Early-Stage Capital Raising (Early-Stage Capital Raising), a set of initiatives to support capital-raising for early-stage Ontario businesses announced in May 2024. OSC TestLab…
Barbara Hendrickson will be a speaker at the Ontario Bar Association’s Twenty Third Annual OSC, TMX, and CIRO Update on September 30, 2025. In her presentation, entitled The Applicability of Canadian securities laws to AI,…
The Ontario Securities Commission (OSC)’s Registration, Inspections and Examinations (RIE) Division has published OSC Staff Notice 33-759 − Registration, Inspections and Examinations Division − 2025 Annual Report (the Annual Report). The RIE Division of the…
The Ontario Securities Commission (OSC) today published its draft Action Plan for Truth and Reconciliation (APTR) for engagement and is seeking feedback for a period ending October 31, 2025, from interested or affected parties, including…
The Ontario Securities Commission (OSC) has published a new statutory framework that will facilitate distributing amounts collected by the OSC under disgorgement orders to harmed investors (the Final Rules). Briefly, the Final Rules consist of:…
The Ontario Securities Commission’s (OSC) Registration, Inspections and Examinations Division (RIE) recently published its 2025-26 Examination Priorities (the Examination Priorities) (OSC Staff Notice 33-758). The RIE is responsible for the ongoing supervision of firms and…
The Ontario Securities Commission (OSC) has approved CIRO’s proposed integrated fee model (Fee Model) and related amendments to the Mutual Fund Dealer Rules (Amendments). The Fee Model includes changes to the: Annual Dealer Member fee; Membership application fees and fees for Dealer Member business changes;…