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 26, 2020Notice of Withdrawal - Proposed Public Interest Rule Change - Nasdaq CXC Limited
November 19, 2020Notice of Commission Approval - Proposed Amendments to CDS Participant Rules - Clean-Up Review
November 19, 2020Notice of Commission Approval - Material Amendments to CDS Rules Related to Tiered Participation Information Sharing - CDS Clearing and Depository Services Inc.
November 19, 2020Notice of Commission Deemed Approval - Housekeeping Amendments Respecting Client Focused Reforms - Investment Industry Regulatory Organization of Canada (IIROC)
November 19, 2020Request for Comment - Notice of Proposed Client Focused Reforms Rule Amendments for Public Comment - Investment Industry Regulatory Organization of Canada (IIROC)