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.

December 14, 2017Notice of Approval - TSX - Amendments to the TSX Company Manual
December 7, 2017Comment Letters: OSC Staff Notice and Request for Comment - Proposed Amendments to Listing Manual
December 7, 2017Notice of Effective Date - Technical Amendments to CDS Procedures - Housekeeping Changes
December 7, 2017Notice of Approval - Amendments to Trading System Functionality & Features - New Order Types
November 30, 2017Notice of Commission Approval - IIROC - Continuing Education Requirements for Approved Persons