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.

November 8, 2018Notice and Request for Comment – Application by The London Metal Exchange for Exemption from Recognition and Registration as an Exchange and Related Registration Relief
November 8, 2018OSC Notice and Request for Comment - Application for Exemption from Recognition as a Clearing Agency - LME Clear Ltd.
November 2, 2018OSC Staff Notice of Request for Comments - Proposed Fee Change Monthly Tier Credits - Top of Book
November 1, 2018OSC Staff Notice of Request for Comment - Proposed Amendments to the CDS Fee Schedule - New Fees for Linkage Service with Shanghai Clearing House (SHCH Link) - CDS
November 1, 2018Notice of Proposed Amendments and Request for Comments - MOC Facility