The Ontario Securities Commission (OSC) must disclose the substance of a complaint that led to an enforcement investigation — but not the identity of the complainant — an adjudicator from the Information and Privacy Commissioner’s office has ruled.
The decision came in a dispute over a Freedom of Information Act request made by an unnamed individual seeking records related to complaints about them to the OSC.
While the provincial Ministry of Finance (acting on behalf of the OSC) granted access to certain records, it declined to disclose others, citing concerns the information could reveal the OSC’s investigative techniques and violate privacy protections.
The individual appealed that decision to the privacy commissioner, which upheld the decision to refuse disclosure on privacy grounds — but also ordered the regulator to disclose other information.
According to the decision, the OSC received a complaint through its contact centre, which resulted in an enforcement investigation being opened. The investigator ultimately closed the file.
The subject of that complaint then requested access to the OSC’s records related to the matter.
Following the decision to release only certain records, and after failed mediation, the case went to an adjudicator at the privacy commission. The adjudicator found the disputed records contained personal information about the complainant — including their name, email, gender and other protected details.
The adjudicator upheld the OSC’s argument that disclosing the complainant’s personal information would constitute an unjustified invasion of their privacy, could cause harm, and might discourage others from reporting suspected misconduct.
“The OSC submits that the disclosure of the complainant’s personal information is presumed to be an unjustified invasion of their personal privacy because the personal information was compiled as part of an investigation into a possible violation of law,” it noted.
The adjudicator agreed, stating: “Having reviewed the records, I am satisfied that the complainant’s personal information was compiled as part of an OSC investigation.”
“I find that the disclosure of the complainant’s personal information would constitute an unjustified invasion of the complainant’s personal privacy.”
The adjudicator also found: “The OSC properly exercised its discretion. The OSC considered the interests that the personal privacy exemption seeks to protect, the reason for the appellant’s request, and the impact of the disclosure of the information on public confidence in its operation.”
“There is no evidence before me that the OSC exercised its discretion in bad faith, for an improper purpose or by taking into account irrelevant considerations.”
However, the adjudicator also ruled that the personal information could be severed from the rest of the records — which contain the substance of the complaint to the OSC — and that these could be disclosed on their own.
Finally, the adjudicator found that the OSC conducted a “reasonable search” for relevant records in response to the original request for information and that it properly disclosed what it found.