Branches & Offices

On this page:

  1. Regulatory Branches/Offices
  2. Advisory Branches/Offices
  3. Corporate Branches

Regulatory Branches/Offices

Compliance & Registrant Regulation – responsible for regulating firms and individuals who are in the business of advising or trading in securities or commodity futures, and firms that manage investment funds in Ontario. More information

Corporate Finance – responsible for regulating reporting issuers other than investment funds and for leading issuer-related policy initiatives. The OSC establishes the regulatory framework for securities offerings in the public and exempt markets, and we monitor compliance through ongoing reviews. More information

Derivatives – responsible for developing a regulatory framework for over-the-counter derivatives trading in Ontario and compliance oversight of derivatives market participants. More information

Enforcement – responsible for investigating and litigating breaches of the Securities Act (Ontario) and seeking orders in the public interest before the Commission and the courts. More information

Investment Funds & Structured Products – responsible for regulating investment products that offer securities for sale to the public in Ontario, including mutual funds, exchange-traded funds, structured products and scholarship plans. More information

Investor Office – sets the strategic direction and leads the OSC’s efforts in investor engagement, education, outreach and research. The Office also has a policy function, plays a key role in the oversight of the Ombudsman for Banking Services and Investments (OBSI), and provides leadership in the area of behavioural insights at the OSC. More information

Market Regulation – responsible for regulating market infrastructure entities (including exchanges, alternative trading systems, self-regulatory organizations and clearing agencies) in Ontario, and for developing policy relating to market structure and clearing and settlement. More information

Office of Mergers & Acquisitions – responsible for overseeing M&A transactions and proxy voting matters involving public companies, and for rule and policy development in the areas of M&A and shareholder rights.

Advisory Branches/Offices

General Counsel’s Office – an in-house legal, policy, strategy and risk-management resource to the OSC. It also oversees organizational integrity and ethical conduct.

Office of the Chief Accountant – supports the OSC in creating and promoting a high-quality framework for financial reporting by market participants.

Office of Domestic & International Affairs – provides advice and support to the OSC in its dealings with other regulators and governments, both in Canada and internationally.

Office of the Secretary to the Commission – supports the Members of the Commission in their statutory mandate as regulators and as a board of directors by providing counsel on adjudicative matters and administrative law, corporate law and corporate governance.

Strategy & Operations – leads development of OSC strategic goals and priorities as well as economic and market research initiatives and the OSC’s business-planning policy-prioritization and risk-management processes.

Corporate Branches

Communications & Public Affairs – provides strategic advice and services to ensure the timely and effective communication of OSC priorities, policies and actions to both external and internal stakeholders.

Corporate Services – supports the effective operation of the OSC through a diverse set of systems and services, including financial management (including planning, reporting and treasury), administration and office services, facilities management, information technology, library and knowledge management, procurement, and records and information management.

Human Resources – provides the OSC with strategic and operational advice and services relating to the planning, acquisition, development and engagement of OSC talent, and the planning and administration of the OSC's total compensation plan, performance management and overall organization development.