CSA / ACVM

About Enforcement
About Enforcement

This section of the 2011 Enforcement Report provides background information on securities enforcement in Canada: what is the CSA, who are the key players in enforcement and what are their roles.
2011 Results
2011 Results

This section presents three years of data in several enforcement categories. The results vary considerably from year to year. Cases differ widely in their complexity and in the number of respondents and victims involved. The time required to conclude a case can range from a few weeks to a year or longer, with complex cases requiring substantial resources. These results should therefore be considered in aggregate; changes in one category are not necessarily a trend.
2011 Case Highlights
Categories
2011 Case Highlights

Securities law violations or conduct contrary to the public interest typically fall into one of five categories, although some cases are relevant to more than one category. Browse the categories to learn about some representative cases from 2011.
Concluded Cases Database

Concluded Cases Database

All 2011 concluded cases are archived here. Browse the complete case list, or search for cases by name, province or category of offence. Click on the case names to link to original case documentation on CSA members’ websites.

Bill Rice
Chair, CSA

Enforcement action against wrongdoing in Canada’s capital markets is a top priority for Canadian securities regulators. In everything we do, we work to stay ahead of evolving trends to foster the confidence of Canadians in the reliability and fairness of our capital markets. Contributing to that effort, we strive to deliver effective, responsive and collaborative securities enforcement across the country.

2011 Enforcement Report

Browse around this site to review the 2011 Enforcement Report. To download or print the entire report, click here.

About Enforcement

2011 Results

Categories

2011 Case Highlights

Concluded Cases Database

2011 Enforcement Report