Domestic Memoranda of Understanding (MOUs)
The Ontario Securities Commission (OSC) has entered into a number of domestic Memoranda of Understanding (MOUs), including an MOU with the Ontario Minister of Finance. This MOU establishes the OSC’s accountability relationship with the Minister and sets out the roles and responsibilities of the Minister of Finance, the Chair and CEO of the Commission, the Board, the Executive Director and Chief Administrative Officer, and the Deputy Minister of Finance.
MOUs have also been entered into with other government agencies, regulators, and law enforcement agencies across Canada. The various MOUs may contain provisions that:
- describe accountability relationships as well as outline roles and responsibilities
- promote safety and efficiency within the securities market
- contribute to the management of systemic risk
- promote higher quality auditing and investor confidence
- reduce overlap between their respective mandates and acknowledge the significance of working with each other
- outline the manner in which each jurisdiction will cooperate and coordinate their enforcement efforts to oversee securities law
- exchange information on a confidential basis to assist each organization in fulfilling its respective mandate
These MOUs reinforce relationships and foster collaboration in matters of mutual interest. The OSC also has a number of MOUs with international partners.
Memorandum of Understanding Regarding Oversight of the Canadian Investment Regulatory Organization (CIRO)
Memorandum of Understanding Between Minister of Finance and Ontario Securities Commission
Memorandum of Understanding among the Regulators regarding oversight of CIPF
Notice of Memorandum of Understanding for the Confidentiality of Information among the Members of the Heads of Regulatory Agencies Committee
Notice of Ministerial Approval of the Memorandum of Understanding Respecting the Resolution of Certain Clearing and Settlement Systems
Notice of Memorandum of Understanding Respecting the Resolution of Certain Clearing and Settlement Systems
Notice of Ministerial Approval of Memorandum of Understanding Respecting the Oversight of Designated Benchmarks and Designated Benchmark Administrators
Notice of Memorandum of Understanding Respecting the Oversight of Designated Benchmarks and Designated Benchmark Administrators
Notice of Ministerial Adoption – Amended and Restated CPC Operating Agreement
Notice of Amended and Restated CPC Operating Agreement
Notice of Ministerial Approval - Memorandum of Understanding for Information Sharing Between the Ontario Securities Commission and the Financial Transactions and Reports Analysis Centre of Canada
Memorandum of Understanding with The Toronto Stock Exchange and The Toronto Futures Exchange
Notice of Memorandum of Understanding Concerning on-going Cooperation, Assistance and Information Sharing with the Financial Services Regulatory Authority of Ontario
Notice of Memorandum of Understanding for Information Sharing Between the Ontario Securities Commission and the Financial Transactions and Reports Analysis Centre of Canada
Notice of Ministerial Approval of Memorandum of Understanding for Oversight of CNSX Markets Inc. Between the Ontario Securities Commission and the British Columbia Securities Commission
Amendment of Agreement among Certain Provincial Securities Regulators in respect of the Ownership and Licensing of the Intellectual Property comprising the System for Electronic Document Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI), and the National Registration Database (NRD) (CSA National Systems) to Extend Scope to New CSA National Systems
Notice of Memorandum of Understanding for Oversight of CNSX Markets Inc. Between the Ontario Securities Commission and the British Columbia Securities Commission
Notice of Amendment of Agreement among Certain Provincial Securities Regulatory Authorities in respect of the Ownership and Licensing of the Intellectual Property Comprising the System for Electronic Document Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI), and the National Registration Database (NRD) (CSA National Systems) to Extend Scope to New CSA National Systems
Notice of Memorandum of Understanding – Memorandum of Understanding Respecting the Oversight of Exchanges and Quotation and Trade Reporting Systems
Notice of Coming into Effect – Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Between the Ontario Securities Commission and the Canadian Public Accountability Board
Notice of Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Between the Ontario Securities Commission and the Canadian Public Accountability Board
Memorandum of Understanding Between Minister of Finance and Ontario Securities Commission 2019
Notice of Ministerial Approval of Arrangements Regarding the Access, Collection, Storage and Use of Derivatives Data
Arrangements Regarding the Access, Collection Storage and Use of Derivatives Data
Notice of Arrangements Regarding the Access, Collection, Storage and Use of Derivatives Data
Notice of Ministerial Approval of the Memorandum of Understanding Between Financial Planning Standards Council and Ontario Securities Commission
Notice Of Memorandum Of Understanding Between Financial Planning Standards Council And Ontario Securities Commission
Effective April 1, 2019, all references in the MOU to the Financial Planning Standards Council (“FPSC”) shall be construed as references to FP Canada