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.

June 25, 2020CSA Consultation Paper 25-402 – Consultation on the Self-Regulatory Organization Framework
June 25, 2020Notice of Commission Order – Application for Exemptive Relief - ICE Bonds Securities Corporation (ICE Bonds), formerly Creditex Securities Corporation
June 22, 2020Comment Letters for Notice of Proposed Changes and Request for Comment - Nasdaq CXC Limited
June 18, 2020Notice of Commission Deemed Approval - Housekeeping Amendments to Dealer Member Rule 200.2 and Equivalent IIROC Rule on Trade-Confirmation Suppression Requirements
June 11, 2020Request for Comments – Clean-up Review – Amendments to CDS Participant Rules - CDS