Decisions and Orders 

Under For Dealers & Advisers – Decisions and Orders, you will find:

• orders granting exemptions to particular applicants from specified requirements of securities laws;
• orders granting approval or recognition to various types of exchanges or self-regulatory organizations; and
• other decisions or orders relating to exchanges, self-regulatory organizations, registrants and those seeking registration.

You can also find certain decisions and orders by viewing:

• For Companies – Decisions and Orders (matters including disclosure filing deficiencies, exemptions for issuers and take-over bids)
• Enforcement – Decisions and Orders (matters including alleged and proved capital market misconduct and related appeals)

In addition, you can consult, without cost, CanLII for decisions and orders issued by the ASC and its counterparts in other Canadian provinces and territories.

Note:  We have been reorganizing the categories of Decisions and Orders documents on our website. 

Some documents formerly found under “Enforcement – Decisions and Orders” have been moved to “For Companies – Decisions and Orders” or to “For Dealers & Advisers – Decisions and Orders”. 

You may want to conduct your search in more than one section.  Thank you for your patience as we complete this transition.