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.

September 20, 2018Notice of Approval - TriAct Canada Marketplace LP - Proposed Change to the MATCHNow Trading System
September 10, 2018Comments Letters: OSC Staff Notice of Request for Comment - Aequitas NEO Exchange - Proposed Trading of Foreign-Listed Structured Products
September 6, 2018Notice of Proposed Fee Change and Request for Comment - Nasdaq CXC Limited
September 6, 2018Notice of Revocation Order - ICAP SEF (US) LLC
August 30, 2018OSC Staff Notice of Request for Comments - Proposed Amendments to Form 9 and Policy 6 - CSE