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 16, 2017OSC Staff Notice of Request for Comment - Proposed Amendments to sections A-102, A-1A09, Rule A-6 and Default Manual, and new section A-411 and new Rule A-10 establishing the recovery powers
February 16, 2017Notice of Ministerial Approval of the Multilateral Arrangement for Regulatory Supervisory and Oversight Cooperation on LCH.Clearnet Ltd.
February 16, 2017Notice of Approval - Market Maker Participation and Peg Orders
February 16, 2017Notice of Commission Approval - Universal Market Integrity Rules - Amendments Respecting Designations and Identifiers
February 14, 2017Comment letters - TSX International Board