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 2, 2015Notice of Housekeeping Rule Amendments - Housekeeping Amendments to the Aequitas Neo Exchange Listing Manual and Listing Forms
June 25, 2015MFDA – Client Relationship Model – Phase 2 – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting)
June 23, 2015Comment Letters - Comment Period Closed on June 22, 2015 - Notice of Proposed Amendments and Request for Comments – Long Life
June 18, 2015OSC Staff Notice of Request for Comment - Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement)
June 18, 2015OSC Staff Notice of Request for Comment - Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications)