Enforcement Branch – Information Requests (Fiscal Year)

Information requests from both internal and external sources that have been processed by the Enforcement branch, including name of requestor and (ii) type of request.

Access level: Restricted
Access notes:

Dataset is restricted as it contains personal information.

Update frequency: Annually

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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).

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