Who We Are and What We Do

As the regulatory body responsible for overseeing the securities industry in Ontario, the Ontario Securities Commission administers the Securities Act, the Commodity Futures Act and certain provisions of the Ontario Business Corporations Act. To effectively carry out its mandate, the Commission is organized into 10 core branches.

Capital Markets

Encompassing Market Regulation, Compliance and Registration, the Capital Markets Branch is responsible for the regulation of registrants, markets, and clearing and settlement systems.

Corporate Finance

Responsible for the regulation of public companies, the Corporate Finance Branch oversees offerings, continuous disclosure filings, take-over bids, mergers and acquisitions, and all related administration and document management.

Investment Funds

A new branch that interprets and administers securities laws, rules and policies relating to investment funds (including conventional mutual funds), and develops new laws, rules and policies to adapt to the changing investment fund industry environment.

Enforcement

With the objective of protecting investors and promoting market integrity, the Enforcement Branch ensures that Ontario securities laws are upheld through equitable and effective enforcement.

Communications

Working closely with OSC branches, the Communications Branch ensures that the Commission’s stakeholders are well informed of OSC activities, directives and policy advances.

Corporate Services

By building and maintaining the core internal systems and infrastructure, the Corporate Services Branch helps the Commission’s constituents to work effectively and efficiently with OSC programs and initiatives.

Office of the General Counsel

Provides senior legal advice and assistance on operational, transactional and regulatory issues to the Chair, Commission and staff. The Office of the General Counsel also leads policy projects — including legislative reform — and supports the branches in the policy development process.

Office of the Chief Accountant

Providing expertise on accounting and policy issues to OSC branches and reporting issuers, the Office of the Chief Accountant also participates in policy development and provides support to OSC projects.

Office of the Secretary

The Office of the Secretary to the Commission is responsible for: ensuring the fair, impartial and efficient operation of the Commission’s administrative proceedings, reviews and appeals; providing corporate secretarial services to the Commission’s Board; and administering the request for comments procedures.

Office of the Chief Economist

Provides detailed cost-benefit analysis to the OSC and analytical support to policy and operational initiatives. In addition, the Office of the Chief Economist engages in fundamental research on the capital markets and attempts to foster external study of issues.