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Enforcement Resource List

List of information resources for Enforcement Staff.

Information for Individuals

Knowledge Services can search for the following for you:

  • Name Changes - Ontario Gazette
  • Exchange Websites for company or individual information
  • Media searches of Canadian or International newspapers
  • Social Media searches
  • Professional Licensing Bodies such as Law Society and Accountant's regulatory organizations
  • Case law searches such as Westlaw or Quicklaw

Contact:  ReferenceDesk@osc.gov.on.ca for assistance.

ISG can conduct research for the following:

  • MTO - Driver's License
  • CPIC (police check)
  • Bankrupty
  • Intelligence (JSIU)

OSC Internal Databases

  • EIS - Enforcement cases
  • Contact Centre Database
  • Contact Management Database

Information for Companies

ISG can search:

  • Cyberbahn - Ontario corporations
  • Strategis - Canadian Federal corporations

Law Clerks can search for:

  • Business Names Registry
  • Extra Provincial Corporations Registry

OSC Internal Resources for ENF staff

  • SEDI Insiders
  • EIS Enforcement cases
  • Private Placement Filings - OSC Records
  • Contact Centre Database
  • Contact Management Database

Cease Trade orders - CSA website

Disciplined Persons List - CSA website

Knowledge Services can search:

  • DisclosureNet for company filings
  • Capital IQ for Analyst Reports and standardized company filings, trading history, company profiles
  • Reuters Eikon for Analyst Reports, company filings, company profiles
  • Bloomberg Terminal - company information, news and Analyst Reports
  • Case law searches for companies on Westlaw or Quicklaw / LexisNexis Canada or CanLII

Prior Regulatory Action

Prior Regulatory Actions

  • NRD - CRR Branch subscription
  • NRS - OSC website
  • Contact Centre Database
  • Contact Management Database
  • EIS - Enforcement database
  • OBSI - complaint info
  • IIROC - Disciplinary cases - also on  Securities Source
  • MFDA - Disciplinary cases - also on Securities Source

Information for US Companies / Individuals

Securities Mosaic is rich resource of developments in the US securities industry as well as SEC Cases, Laws and Regulations. 

We have enterprise-wide access to SM.

Courtlink is a database of US court filings includings Complaints and Pleadings.  Please contact Library staff to search this database for you.