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.

August 18, 2016Notice of Proposed Changes and Request for Comment: Liquidnet Canada - Targeted Invitation Functionality
August 18, 2016OSC Staff Notice of Request for Comment: CDCC - Amendments to the Risk Manual for the Pricing Model on Options on Futures
August 18, 2016OSC Staff Notice of Request for Comment: CDCC - Amendments To The Rules, Operations Manual And The Risk Manual For The Introduction Of The Share Futures Contracts
August 18, 2016OSC Staff Notice of Request for Comment: CDCC – Proposed Amendments to Sections A-1A04 and A-401 of the Rules of the Canadian Derivatives Clearing Corporation in Order to Establish and Document CDCC’s Consultation Power
August 18, 2016Notice and Request for Comment - Application by OneChicago, LLC for Exemption from Recognition and Registration as an Exchange and Related Registration Relief