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Examining Public Interest in Securities Regulation: Section 127 of the Securities Act Ontario

This article delves into the application of the "public interest" concept in regulatory proceedings, focusing on Section 127 of the Securities Act in Ontario. It explores how this concept applies to administrative agencies and tribunals, the public interest role in securities regulation, the types of public interest orders, and the relationship between such orders and the role of securities commissions. Key principles developed and the impact on securities adjudication are discussed, along with the future implications for administrative law.

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Examining Public Interest in Securities Regulation: Section 127 of the Securities Act Ontario

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  1. The “public interest” concept in regulatory proceedings: Application of section 127 of the Securities Act (Ontario) Naizam Kanji Deputy Director, Corporate Finance Branch

  2. Introduction • How does the concept of the “public interest” apply to administrative agencies and tribunals? • Public interest role of agencies/tribunals • Public interest in operational decision-making • Public interest in adjudicative decision-making

  3. Introduction • How is the “public interest” relevant to securities regulation? • Public interest role of securities regulation • Operational decisions • Statutory authority

  4. Introduction • Public interest orders under section 127 of the Securities Act (Ontario) • Types of orders • Ability to make orders where no breach of statute or regulation

  5. Introduction • Is there a relationship between the power to make “orders in the public interest” and the public interest role of securities commissions?

  6. The public interest in securities regulation • How does the statutory mandate of securities commissions impact their view of the public interest? • Jurisprudence prior to 2000 • Post-2000 jurisprudence

  7. The public interest in securities regulation • What are the key principles developed in the application of the public interest jurisdiction? • How do the principles underlying section 127 orders impact the broader public interest role of securities commissions?

  8. Securities adjudication and the public interest concept in administrative law • How relevant are the principles underlying the section 127 jurisprudence to administrative tribunals generally? • What is the future of the public interest concept in securities law and what are its implications for administrative law?

  9. Conclusion

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