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The Ontario Securities Commission (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 also promotes compliance with the requirements of Ontario’s Securities Act and Commodities Futures Act, and any related rules and instruments. In addition, the OSC assists registrants to better understand and comply with their requirements.

Oversight of registered firms

The OSC oversees approximately 1,300 firms and 67,000 individuals in Ontario that trade or advise in securities, commodity futures contracts or options, or act as investment fund managers and monitors market participants for compliance with securities laws. Although the OSC registers firms in the categories of mutual fund dealer and investment dealer, these firms and individuals are directly overseen by their self-regulatory organizations, the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC), respectively.

Getting registered
Review information about becoming a registered individual or firm, including identifying who needs to register, selecting a registration category, application forms and fees, and application review and approval.
Ongoing requirements
Once approved, registered individuals or firms are subject to many ongoing requirements such as compliance, business conduct and financial reporting requirements.
Changes to registration
These can include changes to categories or jurisdictions, or reinstating a registration that has been suspended or surrendered. In some cases, the firm or individual must notify the OSC or apply for the change. In other cases, the OSC will make the change and notify the firm or individual. Learn more about changes to registration.
Registrant Outreach program
Learn more about compliance-related information through educational seminars, calendar of events, subscriptions and other registrant outreach initiatives.
Registrant search
Search for registered individuals or firms selling securities, offering investment advice or managing an investment fund in Ontario or cross-country using the Canadian Securities Administrators (CSA) National Registration Search.
Applying for relief
Find information on how to apply for exemptive or discretionary relief from securities law requirements and the review process.
Opportunity to be heard and Director’s decisions
Learn about the opportunity for a registrant to be heard by the Director before a decision is made concerning staff recommendations to refuse, amend, or suspend registration, or impose terms and conditions, and review previously issued Director's decisions.
Registration forms and documents
Learn more about the different forms and documents you may have to submit.
Fees
Learn more about fees associated with registration.

Derniers instruments, et dernières règles et politiques

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OSC Staff Notice 33-757 – Review of Restricted Dealer Crypto Asset Trading Platforms’ Compliance with the Account Appropriateness, Investment Limits and Client Limits Requirements
OSC Staff Notice 33-756 – Registration, Inspections and Examinations Division Summary Report for Dealers, Advisers and Investment Fund Managers
CSA Staff Notice 31-365 – OBSI Joint Regulators Committee Annual Report for 2023
OSC Coordinated Blanket Order 31-930 – Exemption to allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities under a Prospectus
CSA Notice Regarding Coordinated Blanket Order 31-930 Exemption to allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities under a Prospectus
Frequently Asked Questions about Ontario Instrument 32-508 Not-for-profit Angel Investor Group Registration Exemption (Interim Class Order)
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Dernières ordonnances et dernières décisions

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APX Inc.
PGM Global Inc. and PGM Global Asset Management Inc.
Cantor Fitzgerald Canada Corporation
Canadian Investment Regulatory Organization – s.21.5 of the OSA; s.20 of the CFA
State Street Global Markets Canada Inc.
State Street Global Markets Canada Inc.
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