{"id":266574,"date":"2017-04-20T10:40:00","date_gmt":"2017-04-20T15:40:00","guid":{"rendered":"https:\/\/www.investmentexecutive.com\/uncategorized\/osc-proposes-new-set-of-procedural-rules-and-guidelines\/"},"modified":"2019-02-28T21:36:14","modified_gmt":"2019-03-01T02:36:14","slug":"osc-proposes-new-set-of-procedural-rules-and-guidelines","status":"publish","type":"post","link":"https:\/\/www.investmentexecutive.com\/news\/from-the-regulators\/osc-proposes-new-set-of-procedural-rules-and-guidelines\/","title":{"rendered":"OSC proposes new set of procedural rules and guidelines"},"content":{"rendered":"<\/p>\n<p> The Ontario Securities Commission (OSC) is proposing changes to the rules that guide how disciplinary proceedings and other hearings are carried out.<\/p>\n<p> Specifically, the OSC published a proposed new set of procedural rules and guidelines on Thursday that aim to help unrepresented respondents in an OSC hearing participate in the proceedings.<\/p>\n<p> &#8220;The rules and guideline have been simplified to improve fairness and accessibility, particularly for a broad range of respondents with differing backgrounds and levels of representation,&#8221; the OSC says in a notice.<\/p>\n<p> The proposals also incorporate recent guidelines on electronic submissions, the use and disclosure of personal information, and case-management timelines for enforcement proceedings, the OSC&#8217;s notice states.<\/p>\n<p> For example, the OSC&#8217;s approach to case management for enforcement proceedings, which aims to identify and resolve certain issues at an early stage, will expand to all types of proceedings.<\/p>\n<p> &#8220;The OSC is committed to ensuring that proceedings are accessible to stakeholders, and that our procedures reflect evolving best practices,&#8221; says Grace Knakowski, secretary to the OSC, in a statement.<\/p>\n<p> The proposals are being published for a 60-day comment period ending June 19.<\/p>\n<p> <em>Photo copyright: olegdudko\/123RF<\/em><\/p>\n","protected":false},"excerpt":{"rendered":"<p>The changes to the current rules \u201chave been simplified to improve fairness and accessibility, particularly for a broad range of respondents\u201d<\/p>\n","protected":false},"author":38972,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[2312,2324],"tags":[],"yst_prominent_words":[],"acf":[],"_links":{"self":[{"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/posts\/266574"}],"collection":[{"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/users\/38972"}],"replies":[{"embeddable":true,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/comments?post=266574"}],"version-history":[{"count":1,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/posts\/266574\/revisions"}],"predecessor-version":[{"id":360906,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/posts\/266574\/revisions\/360906"}],"wp:attachment":[{"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/media?parent=266574"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/categories?post=266574"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/tags?post=266574"},{"taxonomy":"yst_prominent_words","embeddable":true,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/yst_prominent_words?post=266574"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}