Decisions and Orders 

The Commission is in the process of reorganizing the categories of documents on the website.  Some documents formerly found under “Enforcement – Decisions and Orders” have already been moved to “For Companies – Decisions and Orders” or to “For Dealers and Advisers – Decisions and Orders”.  We will complete the transition as soon as possible.

You can also search decisions and orders issued by the ASC and other provincial securities regulators on CanLII. All the documents are full-text searchable and freely downloadable.

Information regarding an individual’s enforcement history in other jurisdictions can be found on the CSA Disciplined Persons List. The comprehensiveness of the history provided on this site varies from jurisdiction to jurisdiction.

To view a decision or order, click on the PDF icon () below.