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 27, 2015Notice of Commission Approval - Amendments to the Rule B-3 of CDCC to Introduce Acceleration of Expiry
August 27, 2015OSC Staff Notice of Request for Comment - Material Amendments to CDS Procedures – CAD and USD Receivers of Credit Category Credit Rings
August 27, 2015OSC Staff Notice of Request for Comment - Material Amendments to CDS Rules - CAD and USD Receivers of Credit Category Credit Rings
August 27, 2015IIROC - Margin Requirements for Certain Cash and Security Borrowing and Lending Arrangements - Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1
August 20, 2015Notice of Commission Approval - Material Amendments to CDS Rules - Participant Approval Authority