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.

December 8, 2016Notice of Multilateral Arrangement for Regulatory, Supervisory and Oversight Cooperation on LCH.Clearnet Ltd.
December 8, 2016OSC Staff Notice of Request for Comment - CDCC - Proposed amendments to sections A-102, A-220 and A-701 of the Rules of the CDCC in order to establish a higher standard of legal certainty with respect to bankruptcy remoteness
December 8, 2016IIROC - Proposed Provisions Respecting Trading Supervision Obligations - Notice of Request for Comment
December 2, 2016OSC Staff Notice of Request for Comment - Material Amendments to CDS Procedures Relating to CDS – DTCC Payment Service
December 1, 2016Request for Comment - Proposed Fee Model for the Information Processor for Corporate Debt Securities