OSC records in this library

Ontario Securities Commission. Ontario's securities regulator, which prosecutes before the Capital Markets Tribunal.

This library holds 69 OSC records, filed between 2013-03-18 and 2025-10-22, drawn from 1 source. They are records of documents the OSC published, not a count of everything it did, and the gaps listed below say what is missing.

69records

2013–2025filing years

46%carry a recorded penalty (in CAD)

100%checked against the primary document

"Checked" means an AI agent compared the record with the regulator's own document; no lawyer has reviewed it. A penalty counts only where the document states one; OSC penalties are in CAD as published and are never converted or added to US dollar totals.

Sources

First and last dates are the earliest and latest filing dates among the records from each source, so they show what was collected, not when the source began or ended.

Sources feeding OSC records
Source	Records	First	Last	What it covers	What it does not
Capital Markets Tribunal proceedings (Ontario) collected from 2013	69	2013-03-18	2025-10-22	One page per proceeding that the Ontario Securities Commission brought before the Capital Markets Tribunal, with documents attached. Records name the OSC as the agency and the Tribunal as the forum. Penalties are kept in Canadian dollars as published.	Ontario only. Proceedings that ended in a notice of withdrawal. The OSC's own site, its open-data enforcement datasets (no account of conduct), and every other Canadian regulator. Before 2013.

Records per year

Filing year is when the document was published. The collection window starts in 2013 for the standing sources, so earlier years are thin by design, and the latest year is partial.

Technique mix, top eight

A record can carry more than one technique, so the bars can add to more than the record count.

Status of the records

Judgment entered37 (54%)
Settled27 (39%)
Dismissed2 (3%)
Status unknown2 (3%)
On appeal1 (1%)

"Alleged, no outcome recorded" means the record shows a filing and no outcome has been found in the sources read so far; it does not mean the matter is still open.

Known gaps

Ontario only. British Columbia, Alberta and Quebec are not collected, so nothing here supports a comparison between Canadian provinces. (from DECISIONS.md section 15; src/content/pages/sources.mdx)
CIRO, which enforces order-book conduct on Canadian marketplaces, is not collected, so the library holds no Canadian order-book enforcement. (from src/content/pages/sources.mdx (What the CIRO gap costs this site); DECISIONS.md sections 8 and 26)
Proceedings that ended in a notice of withdrawal are skipped, because nobody was found to have done what the allegations described. (from src/content/pages/sources.mdx (Ontario Securities Commission))
Penalties are in Canadian dollars as published and are left out of every US dollar total and median. (from DECISIONS.md section 13)