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.

August 17, 2017OSC Staff Notice of Request for Comment - Material Amendments to CDS Procedures Related to Canadian Dollar Cash Collateral Management
August 17, 2017Notice of Withdrawal - Withdrawal of the AEF Functionality - Aequitas NEO Exchange
August 3, 2017Notice of Approval - Enhancement to the Opening Auction Functionality
August 3, 2017Notice of Approval - Enhancements to Dark Trading Functionality
July 27, 2017Notice of Housekeeping Rule Amendments - Housekeeping Amendments to Listing Manual and Trading Policies - Aequitas NEO Exchange