We Want to hear from you
The OSC is constantly working to improve how we regulate Ontario’s capital markets. As part of these efforts, we want to hear from you about our proposed instruments rules and policies.
Proposed Instruments, Rules & Policies
Instruments Currently Out For Public Comment |
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This section lists all of the rules which are currently out for public comment. You may view all of the comments submitted for each of the listed rules during the current comment period and any previous comment periods by clicking on the links provided below.
Subscribe to the Out for Comment Feed |
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| Number | Title | Published | Comments Due |
| 21-323 | CSA Staff Notice and Request for Comment 21-323 Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Proposed Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy | May 24, 2018 | August 29, 2018 |
| 93-102 | CSA Notice and Request for Comment - Proposed National Instrument 93-102 Derivatives: Registration and Proposed Companion Policy 93-102 Derivatives: Registration | April 19, 2018 | September 17, 2018 |
| 93-101 | CSA Notice and Second Request for Comment – Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101CP Derivatives: Business Conduct | June 14, 2018 | September 17, 2018 |
| 31-103 | Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP | June 21, 2018 | October 19, 2018 |
Public Comment Period Closed - Comments Under Review |
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The public comment period for each of the rules listed in this section has closed. The comments submitted during the comment period are currently being reviewed by OSC and CSA staff. You may view all of the comments submitted for each of the listed rules during all previous comment periods by clicking on the links provided below.
Subscribe to the Comment Letters Received Feed |
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| Number | Title | Published | Comments Due |
| 61-303 | CSA Staff Notice 61-303 and Request for Comment - Soliciting Dealer Arrangements Comments Received |
April 12, 2018 | June 11, 2018 |
| 45-106 | Proposed Amendments to NI 45-106 Prospectus Exemptions and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages and Proposed Changes to CP 45-106CP Prospectus Exemptions Comments Received |
March 8, 2018 | June 6, 2018 |
| 11-780 | OSC Notice 11-780 – Statement of Priorities – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2019 Comments Received |
March 29, 2018 | May 28, 2018 |
| 15-601 | Proposed Change to OSC Policy 15-601 Whistleblower Program Comments Received |
January 18, 2018 | March 20, 2018 |
| 52-404 | CSA Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence Comments Received |
October 26, 2017 | January 25, 2018 |
| 94-101 | Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives Comments Received |
October 12, 2017 | January 10, 2018 |
| 45-106 |
Proposed Amendments to NI 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution |
June 8, 2017 |
September 6, 2017 |
| Proposed National Instrument 93-101 Derivatives: Business Conduct and a related proposed companion policy Comments Received |
April 4, 2017 | September 1, 2017 | |
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CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers |
April 6, 2017 | July 28, 2017 (Extension of Consultation Period) |
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| Auditor Oversight Issues in Foreign Jurisdictions Comments Received |
April 25, 2017 | June 24, 2017 | |
| 81-408 |
Consultation on the Option of Discontinuing Embedded Commissions |
January 10, 2017 |
June 9, 2017 |
| 81-102 |
CSA Notice and Request for Comment - Modernization of Investment Fund Product Regulation - AlternativeFunds |
September 22, 2016 |
December 22, 2016 |
| 33-404 | Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients Comments Received |
April 28, 2016 |
September 30, 2016 |
| 95-401 | Margin and Collateral Requirements for Non-Centrally Cleared Derivatives Comments Received |
July 7, 2016 |
September 6, 2016 |
Instruments with Minister for 60-Day Review and Decision |
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This section identifies all of the rules that are currently with the Minister responsible for the OSC for review and decision and indicates the final day of the Minister's 60 day review period.
Within 60 days after the Commission delivers a rule to the Minister, the Minister may approve or reject the rule, or return it to the Commission for further consideration. If the Minister does not approve, reject or return the rule, it becomes effective 15 days following the conclusion of the 60 day period unless there is a later day specified in the rule in which case the rule comes into force on that later day. You may view the version of the instrument which has been delivered to the Minister for review and decision by clicking on the links below. |
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Expected Publications for Comment |
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This section lists instruments that are expected to be published for comment in the coming months. This section is not meant to be an exhaustive list but aims to provide greater insights, where possible, into those upcoming instruments that are expected to be published. Dates referred to are subject to change.
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| Number | Title | Expected Publication Date | |
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