Open Data

In November 2015, the Government of Ontario introduced the requirements set out in the Open Data Directive as part of its commitment to improve transparency, accountability and openness. The Open Data Directive requires all ministries and provincial agencies to:

  • create an Inventory of datasets within its custody and 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 Open Data Directive, Open Data Guidebook and how government data is prepared and shared publicly, on the Government of Ontario’s website.

OSC inventory of datasets

Each 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.

Document
OSC Open Data Inventory Document opens in new tab

 

The dataset includes aggregated figures on the volume of contacts received by the Inquiries and Contact Centre from investors and market participants, including (i) complaints and tips, and (ii) inquiries.

Branch: Regulatory Strategy & Research - Contact Centre
Update frequency: Annually
Access level: Open/Public
Dataset URL: Excel

Work-related travel, meal and hospitality expense claims for the fiscal year by appointees, the CEO and every member of senior management that reports directly to the CEO and the top five expense claimants (as determined in accordance with the Public Sector Expense Review Act).

Branch: Corporate Services
Update frequency: Quarterly
Access level: Open/Public
Dataset URL: Expense disclosure

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.

Branch: Financial Management and Reporting
Update frequency: Quarterly
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

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).

Branch: Human Resources and Corporate Services
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Dataset includes: (i) employee name, (ii) title, (iii) employment status (permanent, contract, full-time, part-time), and (iv) hire date.

Branch: Human Resources and Corporate Services
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Dataset includes: (i) employee name, (ii) title, (iii) employment status (permanent, contract, full-time, part-time), and (iv) termination date.

Branch: Human Resources and Corporate Services
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Dataset includes: (i) employee name, (ii) title, (iii) employment status (permanent, contract, full-time, part-time), (iv) salary, (v) job grade, and (vi) whether professional designation is required for position.

Branch: Human Resources and Corporate Services
Update frequency: As required
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Dataset includes: (i) employee name, (ii) address, (iii) social insurance number, and (iv) date of birth.

Branch: Human Resources and Corporate Services
Update frequency: As required
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Dataset includes: (i) employee name, (ii) number of sick days, (iii) vacation days, and (iv) personal days.

Branch: Human Resources and Corporate Services
Update frequency: Quarterly
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Dataset includes: (i) employee name, (ii) title, (iii) job grade, and (iv) performance rating.

Branch: Human Resources and Corporate Services
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Employees who have completed the training required under the Accessibility for Ontarians with Disability Act and the Occupational Health and Safety Act. Dataset includes: (i) employee name, (ii) title, and (iii) dates training completed.

Branch: Human Resources and Corporate Services
Update frequency: As required
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Registered firms whose principal regulator is the Ontario Securities Commission. This dataset includes: (i) firm name and (ii) category of registration.

Branch: Compliance and Registrant Regulation
Update frequency: Other
Access level: Open/Public
Dataset URL: Excel

Registered individuals whose principal regulator is the Ontario Securities Commission. This dataset includes: (i) legal name, (ii) sponsoring firm, and (iii) categories of registration.

Branch: Compliance and Registrant Regulation
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

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.

Branch: Compliance and Registrant Regulation
Update frequency: Annually
Access level: Open/Public
Dataset URL: Excel

Service standard results for routine, complete applications for registration, notices of termination, and applications for exemptive relief completed by the Compliance and Registrant Regulation branch.

Branch: Compliance and Registrant Regulation
Update frequency: Annually
Access level: Open/Public
Dataset URL: Excel

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.

Branch: Compliance and Registrant Regulation
Update frequency: Annually
Access level: Under review

List of entities in each category/type: - Exchanges - Clearing Agencies - Alternative Trading Systems - Information Processors - Swap Exchange Facilities - Self Regulatory Organizations - Trade Repositories

Branch: Market Regulation
Update frequency: Quarterly
Access level: Open/Public
Dataset URL: Market regulation

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.

Branch: Market Regulation
Update frequency: Other
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

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.

Branch: Market Regulation
Update frequency: Quarterly
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Confidential by Commission Order

Requirements include volume and value of trades traded broken down by asset class.

Branch: Market Regulation
Update frequency: Quarterly
Access level: Restricted
Exemption: Confidentiality

Activity as measured by Transactions and Notional Amounts Public aggregate activity data consolidated from Chicago Mercantile Exchange, ICE Trade Vault (ICE) and The Depository Trust & Clearing Corporation.

Branch: Derivatives
Update frequency: Other
Access level: Under review

Public aggregate Outstanding Notional Amounts and Number of Transactions data consolidated from Chicago Mercantile Exchange, ICE Trade Vault (ICE) and The Depository Trust & Clearing Corporation.

Branch: Derivatives
Update frequency: Other
Access level: Under review

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.

Branch: Corporate Finance
Update frequency: Annually
Access level: Open/Public
Dataset URL: Excel

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.

Branch: Corporate Finance
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Exempt market distribution reports filed with the Ontario Securities Commission, specifying: (i) report submission date, (ii) issuer name, (iii) date of first distribution, (iv) capital raised in Ontario, and (v) number of purchasers in Ontario.

Branch: Corporate Finance
Update frequency: Monthly
Access level: Open/Public
Dataset URL: https://www.osc.ca/en/securities-law/filing-documents-online/exempt-distributions-summary

Non-Investment fund reporting issuers in Ontario including (i) issuer name and (ii) the principal regulator.

Branch: Corporate Finance
Update frequency: Annually
Access level: Open/Public
Dataset URL: Reporting Issuers List

The data includes: (i) name, industry and year-end of the Toronto Stock Exchange-listed reporting issuers whose disclosure was reviewed by participating jurisdictions, (ii) number and proportion of women on the issuer's board and in executive officer positions, (iii) and details regarding issuers’ disclosure of policies, targets and considerations made for women on boards and in executive officer positions.

Branch: Corporate Finance
Update frequency: Annually
Access level: Open/Public
Dataset URL: Regulators Release Detailed Data on Women on Boards and in Executive Officer Positions

Exemptive relief applications relating to investment funds approved by the Ontario Securities Commission, including: (i) received date, (ii) applicant name, (iii) the principal regulator, and (iv) date of decision.

Branch: Investment Funds and Structured Products
Update frequency: Annually
Access level: Open/Public
Dataset URL: Excel

Exemptive relief applications relating to investment funds filed with 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.

Branch: Investment Funds and Structured Products
Update frequency: Annually
Access level:Open/Public
Dataset URL: Excel

Investment fund reporting issuers in Ontario including (i) issuer name and (ii) the principal regulator.

Branch: Investment Funds and Structured Products
Update frequency: Annually
Access level:Open/Public
Dataset URL: Excel

Issuer-level statistics contained in the dataset includes: i) total value of notes outstanding, repurchased, issued, matured, and called ii) value of notes outstanding and issued by note type, iii) value of notes issued by province, and iv) number of notes issued by note type. "

Branch: Investment Funds and Structured Products
Update frequency: Quarterly
Access level: Under review

Enforcement proceedings commenced including: (i) respondent(s) name(s), (ii) date, (iii) proceeding type (commission, quasi-criminal, civil, criminal), and (iv) number of respondents (corporation/individual).

Branch: Enforcement
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Interim orders obtained in the fiscal year, including: (i) respondent(s) name(s), (ii) date, (iii) number of respondent (corporation/individual), and (iv) total amount frozen. Proceedings are sorted by primary alleged violation type.

Branch: Enforcement
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Commission and court proceedings concluded in the fiscal year, including: (i) respondent(s) name(s), (ii) date; and (iii) sanctions ordered. Proceedings are sorted by violation type.

Branch: Enforcement
Update frequency: Annually
Access level: Under review

Commission and court proceedings appealed in the fiscal year, including: (i) appellant(s) name(s), (ii) date, and (iii) outcome of appeal. Proceedings are sorted by violation type.

Branch: Enforcement
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

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.

Branch: Enforcement
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Incoming requests for assistance received by Enforcement staff under Memoranda of Understanding, including: (i) date of request, (ii) requestor, and (iii) country of requestor

Branch: Enforcement
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

Outgoing requests for assistance under Memoranda of Understanding, including: (i) date of request, (ii) requestee, and (iii) country of requestee

Branch: Enforcement
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information

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

Branch: Enforcement
Update frequency: Annually
Access level: Open/Public
Dataset URL: Investor warning list

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.

Branch: Enforcement
Update frequency: Annually
Access level: Restricted
Exemption: Confidentiality
Rationale not to release: Dataset includes personal information