The OSC regulates firms and individuals who are in the business of advising or trading in securities or commodity futures, contracts and options, and firms that manage investment funds in Ontario. These firms and individuals are referred to as registrants.

The OSC regulates companies that offer securities for sale to the public in Ontario. It monitors compliance with the requirements of Ontario’s Securities Act, as well as with any related rules and policies of the OSC. It also monitors compliance with rules governing take-over bids and special transactions.

The Ontario Securities Commission (OSC) regulates investment funds that sell securities in Ontario. An investment fund that sells securities in Ontario must comply with the applicable requirements of Ontario’s Securities Act and any related rules of the OSC.

In Ontario, marketplaces, including exchanges and alternative trading systems (ATSs); self-regulatory organizations (SROs); clearing agencies; and investor protection funds are regulated by the OSC.

The OSC is responsible for compliance and oversight of derivatives market participants in Ontario. In addition, the OSC continues to improve the regulatory framework for OTC derivatives trading in Ontario.

The Office of Economic Growth and Innovation (The Innovation Office) is a dedicated team at the OSC focussed on initiatives that support economic growth and innovation in Ontario’s capital markets. The Innovation Office contributes to processes that support innovation and drive efficiency at the OSC. It also runs the OSC LaunchPad program, which helps innovative companies navigate securities regulation.