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.

February 1, 2016Chi-X Canada ATS Ltd. - Notice of Commission Approval - Change of Ownership
January 21, 2016Notice of Effective Date - Technical Amendments to CDS Procedures: Expansion of Company Types in CDSX
January 7, 2016Notice of Commission Approval: Material Amendments to CDS Rules Concerning Enhancements to CNS (Dedicated Own Resources) and Related Change to Fee Schedule
January 7, 2016Aequitas NEO Exchange Inc. - Notice of Approval - Appeal Procedures
January 7, 2016OSC Staff Notice of Proposed Changes and Request for Comment: Proposed Amendments to NEO Exchange Trading Policies