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.

April 20, 2017Eurex Clearing AG
April 20, 2017IIROC - Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression Requirements
April 13, 2017Notice of Commission Approval - Amendments to sections A-102, A-220 and A-701 of the rules of the CDCC in order to establish a higher standard of legal certainty with respect to bankruptcy remoteness
April 13, 2017Notice of Commission Approval - Amendments to Sections A-1A04 and A-401 of the rules of CDCC in order to establish and document CDCC's consultation power
April 6, 2017Notice of Proposed Changes and Request for Comment - Liquidnet Canada - Changes to the Liquidnet Canada Trading System