Branches & Offices
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Compliance & Registrant Regulation – responsible for regulating firms and individuals who are in the business of advising or trading in securities or commodity futures, and firms that manage investment funds in Ontario. More information
Corporate Finance – responsible for regulating reporting issuers other than investment funds and for leading issuer-related policy initiatives. The OSC establishes the regulatory framework for securities offerings in the public and exempt markets, and we monitor compliance through ongoing reviews. More information
Derivatives – responsible for developing a regulatory framework for over-the-counter derivatives trading in Ontario and compliance oversight of derivatives market participants. More information
Enforcement – responsible for investigating and litigating breaches of the Securities Act (Ontario) and seeking orders in the public interest before the Commission and the courts. More information
Investment Funds & Structured Products – responsible for regulating investment products that offer securities for sale to the public in Ontario, including mutual funds, exchange-traded funds, structured products and scholarship plans. More information
Investor Office – sets the strategic direction and leads the OSC’s efforts in investor engagement, education, outreach and research. The Investor Office also has a policy function, plays a key role in the oversight of the Ombudsman for Banking Services and Investments (OBSI), and provides leadership at the OSC in the area of behavioural insights and improving the investor experience. More information
Market Regulation – responsible for regulating market infrastructure entities (including exchanges, alternative trading systems, self-regulatory organizations and clearing agencies) in Ontario, and for developing policy relating to market structure and clearing and settlement. More information
Office of Mergers & Acquisitions – responsible for overseeing M&A transactions and proxy voting matters involving public companies, and for rule and policy development in the areas of M&A and shareholder rights.
Communications & Public Affairs – provides strategic advice and services to ensure the timely and effective communication of OSC priorities, policies and actions to both external and internal stakeholders.
General Counsel’s Office – an in-house legal, policy, strategy and risk-management resource to the OSC. It also oversees organizational integrity and ethical conduct.
Office of the Chief Accountant – supports the OSC in creating and promoting a high-quality framework for financial reporting by market participants.
Office of the Secretary to the Commission – supports the Members of the Commission in their statutory mandate as regulators and as a board of directors by providing counsel on adjudicative matters and administrative law, corporate law and corporate governance.
Strategy & Operations – leads development of OSC strategic goals and priorities as well as economic and market research initiatives and the OSC’s business-planning policy-prioritization and risk-management processes.
Financial Management and Reporting – provides financial management and analysis, reporting and treasury services to allow the OSC to continue carrying out its regulatory responsibilities. Assurance over financial reporting is provided through the design and maintenance of effective controls.
Human Resources and Corporate Services – is a new entity, comprised of the former Human Resources Branch, the following business units from the former Corporate Services Branch: Administration (Facilities, Procurement, Office Services), Knowledge Services, Records and Information Management, and the Business Continuity Function from Strategy and Operations. The mandate of the Branch is to ensure the responsible stewardship of OSC resources, contribute to enterprise-wide workforce productivity, and lead the design and implementation of a positive employee experience.
Information Services – is responsible for establishing, monitoring and maintaining information technology (IT) systems and services for the OSC in support of its mandate.