About the OSC
Branches & Offices
The Commission is supported by an Executive Director & Chief Administrative Officer and approximately 480 staff working in 15 branches and offices.
Compliance & Registrant Regulation – responsible for regulating firms and individuals who are in the business of advising or trading in securities or commodity futures, and firms that manage investment funds in Ontario.
Corporate Finance – responsible for regulating reporting issuers other than investment funds and for leading issuer-related policy initiatives. The OSC establishes the regulatory framework for securities offerings in the public and exempt markets, as well as take-over bids, and we monitor compliance through ongoing reviews.
Derivatives – responsible for developing a regulatory framework for over-the-counter derivatives trading in Ontario.
Enforcement – responsible for investigating and litigating breaches of the Securities Act (Ontario) and seeking orders in the public interest before the Commission and the courts.
Investment Funds – responsible for regulating investment products that offer securities for sale to the public in Ontario, including mutual funds, exchange-traded funds, structured products and scholarship plans.
Market Regulation – responsible for regulating market infrastructure entities (including exchanges, alternative trading systems, self-regulatory organizations and clearing agencies) in Ontario and for developing policy relating to market structure and clearing and settlement.
General Counsel’s Office – an in-house legal, policy, strategy and risk-management resource to the OSC. It also oversees organizational integrity and ethical conduct.
Office of the Chief Accountant – supports the OSC in creating and promoting a high-quality framework for financial reporting by market participants.
Office of Domestic & International Affairs – provides advice and support to the OSC in its dealings with other regulators and governments, both in Canada and internationally.
Office of the Investor – leads the effort to identify and understand investor issues and concerns through investor outreach and research initiatives, and ensures investor issues and concerns are considered and addressed in the policy and operational activities of the OSC. This includes working with the Investor Advisory Panel and the Investor Education Fund to support their efforts.
Office of the Secretary to the Commission – supports the Members of the Commission in their statutory mandate as regulators and as a board of directors by providing counsel on adjudicative matters and administrative law, corporate law and corporate governance.
Strategy and Operations – assists the OSC in the delivery of its strategic goals and priorities through policy advice, research and project planning, and by support for the OSC’s business planning, policy prioritization and risk management processes.
Communications & Public Affairs – supports and facilitates timely and effective communications to keep stakeholders informed of OSC priorities, policies and actions.
Corporate Services – supports the effective operation of the OSC through a diverse set of systems and services, including financial management (including planning, reporting and treasury), administration and office services, facilities management, information technology, library and knowledge management, procurement, and records and information management.
Human Resources – provides the OSC with strategic and operational advice and services relating to the planning, acquisition, development and engagement of OSC talent, and the planning and administration of the OSC's total compensation plan, performance management and overall organization development.