An analysis of the process allows directors, senior management and in-house counsel to be aware of what to expect in any investigation and provides information for them to proactively manage the risks ahead of time. If the OSC decided to target your company, would your team know what to do?Ī version of this article was recently published in Listed Magazine and documents the procedure of a typical OSC regulatory investigation. ![]() (TSX:HCG) and three of its executives were the result of a lengthy, extensive and highly confidential investigation. ![]() The OSC’s 2017 regulatory enforcement proceedings against Home Capital Group Inc.
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