Accessing OSC records

Adjudicative records are documents that relate to a Capital Markets Tribunal proceeding before a Panel. The following adjudicative records are published on the Capital Markets Tribunal Proceedings page, unless a Panel orders otherwise:

Applications
Statements of Allegation
Notices of Hearing
Motions
Notices of Withdrawal
Decisions
Orders
Reasons
Settlement agreements

Access to other adjudicative records is available to the public upon request, if practicable, unless a Panel orders otherwise. Requests for access to adjudicative records should be made to [email protected] or by contacting OSC Records at 416-593-3735, TTY: 1-866-827-1295.

In a request made by email please ensure you provide all the information we need to complete your request.

To request adjudicative records, please provide:

Names of individuals/companies involved
Date of hearing

When requesting adjudicative records, you can schedule an appointment to view the records in person by emailing [email protected]. If you are unable to attend in person, we can provide you with a list of documents from which your selection can be made.

Documents containing confidential financial, personal or other information may not be provided. For questions about public records and record requests, email [email protected] or call 416 593-3735 (TTY 1-866 827-1295).

Records required to be disclosed to investors by securities issuers (public companies and investment funds) are available via:

the System for Electronic Document Analysis and Retrieval (SEDAR) for disclosure documents filed electronically (other than documents filed only with Canadian exchanges) and filer profiles
the System for Electronic Disclosures by Insiders (SEDI) for profiles of insiders (directors, senior officers and significant shareholders) and reporting issuers

Most applications are not available on SEDAR.com and must be requested by email from the OSC. Please ensure you provide all the information we need to complete your request.

To research historical public records of the Ontario Securities Commission, please contact the provincial archives (Information, Privacy, and Archives Division of the Ministry of Government and Consumer Services).

Exempt market filings Form 45-106F1 (2006-present) (note: Schedule 1 is not provided due to confidentiality)

Name of issuer
Date of distribution

Applications (including exemptive relief applications)
(2006-present)

Date of order
Parties involved

Public company filings not found on SEDAR or SEDI
(2006-present)

Name of company
Name of document
Date

Documents containing confidential financial, personal or other sensitive information may not be provided. For questions about public records and record requests, email [email protected] or call 416 593-3735 (TTY 1-866 827-1295).

Registrant and Opportunity To Be Heard (OTBH) records may be requested by email from the OSC. Please ensure you provide all the information we need to complete your request.

Registration of Individuals Form 33-109F4 or Notice of Termination Form 33-109F1 (registrants may request their own records or law/investment firms may request records on their behalf)

Name in full
National Registration Database number
Date of birth
Last sponsoring firm

Opportunity to be Heard (OTBH)

Name of registrant (firm or individual)
Date of hearing

Documents containing confidential financial, personal or other information may not be provided. For questions about public records and record requests, email [email protected] or call 416 593-3735 (TTY 1-866 827-1295).

Depending on the type of information you request, fees may apply. Fees are subject to HST and payments may be made by credit card or cheque.

Request for a search of Commission public records:

$10 initial search fee, plus $7.50 per person for each 15 minutes time spent by the person searching or preparing records for disclosure to the extent consistent with the request.

Request for copies of Commission public records:

Applicable search fees as noted above. Additional charge of $0.25 per page for photocopied or printed records. No additional charge for digital copies where available.

Notice of Termination (33-109F1)

Free of charge

Registration Form (33-109F4)

Free of charge

Certified copy of any OSC record (Certified by the OSC as a true copy of the original record)

$100 (search and copy fees do not apply)

For more information on the OSC’s service standard timing to process record requests, see the OSC Service Commitment. The turnaround time for Tribunal records may vary if a file needs to be recalled from offsite.

High volume requesters, such as law firms and agents, must e-mail [email protected] to set up a corporate account.

Pursuant to the Freedom of Information and Protection of Privacy Act (FIPPA), members of the public have a right to access government information, including from Ontario public sector organizations such as the Ontario Securities Commission (OSC). The right of access is subject to certain limits.

You may make an FOI request to the OSC for OSC records. Your request must i) be in writing; ii) be as clear as possible in terms of what records you are looking for; and iii) be accompanied by a payment of $5.

Processing fees

Additional fees may apply to process a request. The processing fee is determined by the:

type of information you requested (for example, general records or personal information)
the cost of the format of production (electronic or otherwise)
total costs incurred by the institution to produce or prepare the information

You will receive a fee estimate from the FOI office or institution where you submitted your FOI request, if the processing fees will be more than $25. When processing fees are over $100, a deposit may be required.

You have the right to request a waiver of fees if the payment will cause financial hardship or if the information will benefit public health or safety. The FOI office or institution that receives your request for a fee waiver will discuss next steps in the process.

Send your request to:

Ontario Securities Commission
ATTN: Senior FIPPA Officer
20 Queen Street West, 20th Floor
Toronto, ON M5H 3S8

Online form

The FIPPA contains exemptions and exclusions that protect certain categories of sensitive information, including personal information, securities law enforcement information, and confidential business information.

Parties affected by a request for disclosure will be entitled to notice with respect to the request, and will be given the opportunity to make submissions about disclosure of the requested information. Decisions concerning access under the FIPPA may be appealed to Ontario's Information and Privacy Commissioner.

For more information, please contact the OSC’s Senior FIPPA Officer at 416-593-2366 or [email protected].

Section 138.12 of the Ontario Securities Act grants the Commission intervenor status in actions under s. 138.3 of the Act, applications for leave to commence the action under s. 138.8, and in any appeal from the decision of the court in the action, or with respect to whether leave is granted to commence the action.

Under Part XXIII.1 of the Securities Act, the Commission must be provided with notice or documents related to proceedings commenced as per s. 138.8 and s. 138.9.

Any documentation submitted to the OSC should be submitted as a PDF file via email to [email protected]. Packages, including a cover letter indicating the relevant matter(s) and a list of documents submitted, should be addressed to:

Records & Information Management
Ontario Securities Commission
20 Queen Street West, Suite 2200
Toronto, Ontario
M5H 3S8

Parties involved in secondary market civil liability matters should also provide updates to the OSC in the case where a settlement has been approved or the action otherwise concludes. Updates should also be provided if any documents provided to the OSC are either withdrawn or otherwise become subject to a confidentiality order by the Court. These updates can be submitted via email to [email protected].