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.

November 14, 2019Notice of Commission Approval - Amendments Respecting Mandatory Reporting of Cybersecurity Incidents - Investment Industry Regulatory Organization of Canada (IIROC)
November 7, 2019Notice of Request for Comment - Material Amendments to CDS Rules Related to Liquidity Risk Management - CDS Clearing and Depository Services Inc.
November 7, 2019Notice of Request for Comment - Material Amendments to CDS Rules Related to Tiered Participation Information Sharing - CDS Clearing and Depository Services Inc.
October 24, 2019Request for Comment - Proposed Amendments to MFDA Rule 1.1.1(A) (Business Structures - Members)
October 17, 2019Request for Comment - Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC