Open Data
The Ontario Securities Commission (OSC) is committed to fostering trust and improving transparency, accountability and openness by providing open data in alignment with Ontario’s Digital and Data Directive (2021).
The Digital and Data Directive requires all ministries and provincial agencies to:
- create an Inventory of Data Assets within its custody or control
- publish all datasets in an open format unless the dataset cannot be released for legal, security, confidentiality, privacy or commercially sensitive reasons (an open format is one that is platform independent, machine readable, and vendor-neutral)
You can learn more about Ontario’s Digital and Data Directive and how government data is prepared and shared publicly, on the Government of Ontario’s website.
OSC inventory of datasets
OSC Open Data InventoryEach listing in the inventory of datasets identifies whether a dataset is currently open, restricted or under review. If a dataset is noted as being “under review,” it means that we are in the process of assessing whether it can be made public or whether it is exempt from release for legal, security, confidentiality, privacy, or commercially sensitive reasons. Use of the OSC’s datasets is subject to the Open Government Licence – Ontario.
This survey covers all investment funds managed by IFMs registered in Ontario, including prospectus-exempt and prospectus-qualified investment funds, that have net asset values of at least $10 million. The survey focuses on several areas, including leverage, liquidity, and asset class exposures of investment funds. In particular, this survey seeks data points including, but not limited to: fund size, type of holdings (by geography and asset class), leverage, ownership and liquidity profiles.
Matters added to either the Investor Warning List or the Investor Alert List, including: (i) name (ii) Warning List or Investor Alert List, (iii) posted date.
Registered firms whose principal regulator is the Ontario Securities Commission. This dataset includes: (i) firm name and (ii) category of registration.
Registered individuals whose principal regulator is the Ontario Securities Commission. This dataset includes: (i) legal name, (ii) sponsoring firm, and (iii) categories of registration.
Dataset includes: (i) employee name, (ii) title, (iii) employment status (permanent, contract, full-time, part-time), and (iv) hire date.
Non-investment fund exemptive relief applications approved by the Ontario Securities Commission, including: (i) received date, (ii) applicant name, (iii) principal regulator, and (iv) date of decision.
Non-investment fund prospectuses receipted by the Ontario Securities Commission, including: (i) received date, (ii) issuer name, (iii) principal regulator, and (iv) date of final receipt.
Non-Investment fund reporting issuers in Ontario including (i) issuer name and (ii) the principal regulator.
Dataset includes: schedule number, schedule title, series number, series title, branch/custodian, date authorized by Archivist of Ontario, date authorized by OSC, preceded by, superseded by, description, onsite retention, offsite retention, total retention, disposition.
Outgoing requests for assistance under Memoranda of Understanding, including: (i) date of request, (ii) requestee, and (iii) country of requestee.
Reciprocal orders obtained in the fiscal year, including: (i) respondent(s) name(s), (ii) date; and (iii) sanctions ordered. Orders are sorted by violation type.
Registration exemptive relief applications approved by the Ontario Securities Commission, including: (i) filing date, (ii) issuer name, (iii) whether the Ontario Securities Commission is principal or non-principal regulator, and (iv) date of approval.
List of entities in each category/type: - Exchanges - Clearing Agencies - Alternative Trading Systems - Information Processors - Swap Exchange Facilities - Self Regulatory Organizations - Trade Repositories
Number of registrants subject to regulatory action from the Compliance and Registrant Regulation branch including: (i) terms and conditions on registration, (ii) denial of registration, (iii) suspension of registration, (iv) referral to Enforcement Branch, (v) section 8 review request, (vi) warning letter, and (vii) other.
Internal and external requests for: (i) Tribunal hearing materials, (ii) exempt market filings, (iii) applications filed by issuers and exempt market filings, (iv) public company filings not found on SEDAR or SEDI, (v) registration of individual or notice of termination; and (vi) opportunity to be heard records. The dataset includes: date of request, date of response, type of request, requestor, requestor's firm, and fees (if any).
Respondents who are delinquent in paying administrative penalties, disgorgement orders and/or costs imposed in enforcement proceedings before the Commission. For each respondent, the list indicates the amount owing individually and the amount owing jointly with other respondents, as well as whether the full or partial amount is outstanding. The list does not include those matters that are under appeal, or those respondents who are in compliance with a payment schedule.
Aggregated issuer statistics contained in this sub-set data of the Structured Notes Distributed Under the Shelf Prospectus System dataset includes: i) total value of notes outstanding, and ii) percent of autocallable - outstanding (CAD$) out of all value of notes outstanding by note type.
Generally these summaries include: (i) volume and value of trades cleared by each clearing agency, (ii) open interest, (iii) number of participants, (iv) collateral information (default fund and margin), and (v) risk management information related to stress testing and back testing.
Summaries include: (i) number of trades executed for equities, types of crosses, (ii) most active participants, (iii) system outages and planned improvements, (iv) exchange traded funds, (v) debt and options, and (vi) activity on the marketplace based on the number and types of orders entered and cancelled.
Requirements include volume and value of trades traded broken down by asset class.