Industry

Marketplaces, SROs & Clearing Agencies


The OSC oversees the operation of marketplaces, self-regulatory organizations (SROs), clearing agencies, and investor protection funds in Ontario. It promotes compliance with the requirements of the Securities Act (Ontario), as well as with any related rules and policies.

This section of the OSC’s website provides information on how the OSC oversees marketplaces, SROs, clearing agencies, and investor protection funds including:

  • the recognition or approval of marketplaces, SROs, clearing agencies, and investor protection funds
  • marketplaces, SROs, clearing agencies, and investor protection funds operating in Ontario
  • regulatory and filing requirements, and
  • policy initiatives related to market structure and marketplace operation.

The information in this section should be taken as a guide. The content is not intended to provide investment, financial, accounting, legal, tax or other professional advice and should not be relied upon or regarded as a substitute for such advice. We recommend that you seek advice from a qualified professional advisor before acting on any information or other content appearing on this web site or any web site to which it may be linked.

July 21, 2016Notice of Proposed Changes and Request for Comment - Changes to the MATCHNow Trading System
July 14, 2016Notice of Commission Approval - Amendments to the CDCC Default Manual and to Sections A-308 and A-401 of the CDCC Rules
July 14, 2016OSC Staff Notice of Request for Comment - Proposed Amendments to the CDS Fee Schedule - ISIN Issuance and CDS Eligibility Services, and Entitlements and Corporate Action Events Management
July 14, 2016Notice of Commission Order - Application for Exemptive Relief
July 7, 2016Notice of Proposed Change and Request for Comments - Aequitas NEO Exchange Inc.