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.

May 17, 2018Notice of Proposed Changes and Request for Comment
May 17, 2018Notice of Withdrawal - Trading of US-Listed Securities on TSX International Board - TSX Inc
May 10, 2018Notice of Proposed Change and Request for Comment - TriAct Canada Marketplace LP - Change to the MATCHNow Trading System
May 10, 2018Notice of Approval - Liquidnet Canada Inc. - Significant Changes to Bond Trading Functionality
May 10, 2018Notice of Effective Date - CDS - Technical Amendments to CDS Procedures - Canadian Securities Exchange Buy-ins