Guide to Capital Markets Tribunal Proceedings

This guide is intended to assist self-represented parties, as well as any other applicants, respondents, witnesses and others involved in proceedings heard by the Ontario Securities Commission’s Capital Markets Tribunal (which is referred to as the “Tribunal”).

This guide provides an overview of procedures for Tribunal proceedings. It provides general information only. Proceedings may vary and Panels may order different procedures than discussed here. You should review both the Tribunal’s Rules of Procedure and Forms and the Tribunal’s Practice Guideline when preparing for a hearing. If there is a discrepancy between the information contained below and the Rules of Procedure and Forms or the Practice Guideline, then the Rules of Procedure and Forms and/or the Practice Guideline will apply.

This is not a legal document and does not give any legal advice. If you have questions about a matter that involves you, consider contacting a lawyer or paralegal. If you are involved in an enforcement proceeding, you may be eligible to apply for a volunteer lawyer to assist you through the Litigation Assistance Program (the “LAP”). For more information on the LAP, see the section on “Representation” in Part 3.

The Governance & Tribunal Secretariat cannot provide legal advice.