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March 29, 2015 12:17 PM ET

Diversified Financial Services

Company Overview of Ontario Securities Commission

Company Overview

Ontario Securities Commission operates as an independent Crown corporation that is responsible for regulating the capital markets in Ontario. It regulates firms and individuals who sell securities and provide advice in Ontario; and regulates public companies, investment funds, and marketplaces, such as the Toronto Stock Exchange. The company administers and enforces the provincial Securities Act and the provincial Commodity Futures Act, as well as administers provisions of the provincial Business Corporations Act. It also works with Canadian securities regulators to harmonize legislation and regulatory practices for the benefit of the Ontario and Canadian capital markets; and various law enf...

20 Queen Street West

Suite 1903

Toronto, ON M5H 3S8


Founded in 1928





Key Executives for Ontario Securities Commission

Chairman, Chief Executive Officer and Member of Governance & Nominating Committee
Director of Corporate Finance
Chief Accounting Officer and Executive Director
Chief Administrative Officer and Executive Director
Director of Corporate Services
Compensation as of Fiscal Year 2014.

Ontario Securities Commission Key Developments

The Ontario Securities Commission Amends Schedule for Public Disclosure of Transaction-Level Derivatives Data

The Ontario Securities Commission announced further amendments to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting. The amendments delay the effective date for transaction-level data reporting by designated trade repositories until July 29, 2016 and also allow certain market participants to report under the European Union (EU) derivatives trade reporting rules. Delaying transaction-level public reporting allows OSC Staff further time to study current over-the-counter derivatives market data and develop appropriate publication delay mechanisms. Derivatives trade reporting is a recent development in Ontario, with the first phase having come into effect on October 31, 2014 for clearing agencies and dealers. The amendment to include the EU derivatives reporting rules is part of an ongoing effort to recognize as equivalent the rules of other jurisdictions where substituted compliance is appropriate. The amendments to the Rule are scheduled to come into effect on April 30, 2015.

Ontario Securities Commission Announces New Registrant Advisory Committee Members for 2015-2017 Term

The Ontario Securities Commission announced the membership of the Registrant Advisory Committee (RAC) for the 2015-2017 term.  The RAC serves as a forum to discuss issues and challenges faced by registrants in interpreting and complying with Ontario securities law, including registration and compliance related matters. The Committee members are: Robert Maxwell, Arrow Capital Management Inc.; Prema K. R. Thiele, Borden Ladner Gervais LLP; Leonard Racioppo, Coerente Capital Management Inc.; Matthew Irwin, Ewing Morris & Co.Investment Partners Ltd.; Richard Goldstein, First Republic Capital Corporation; Eric Adelson, Invesco Canada Ltd.; Brent H. Moore, Mackenzie Financial Corporation; Catherine Chamberlain, Vanguard Investments Canada Inc.; Cora Pettipas, National Exempt Market Association; Matthew Brady, Mutual Fund Dealers Association of Canada; Sandra Blake, Investment Industry Regulatory Organization of Canada; Cathy Tuckwell, Portfolio Management Association of Canada and 1832 Asset Management L.P.

Ontario Securities Commission Announces Ruling for Wells Fargo Securities, LLC

Upon the application of Wells Fargo Securities, LLC to the Ontario Securities Commission for: a ruling of the Commission, pursuant to section 38 of the CFA, that the Applicant is not subject to the dealer registration requirement in the CFA or the trading restrictions in the CFA in connection with trades (Futures Trades) in Exchange-Traded Futures on exchanges located outside Canada (Non-Canadian Exchanges) where the Applicant is acting as principal or agent in such trades to, from or on behalf of Permitted Clients; a ruling of the Commission, pursuant to section 38 of the CFA, that a Permitted Client is not subject to the dealer registration requirement or the trade restrictions in the CFA in connection with Futures Trades on Non-Canadian Exchanges, where the Applicant acts in respect of the Futures Trades on behalf of the Permitted Client pursuant to the above ruling; and a decision of the Director, pursuant to section 6.1 of Rule 91-502, exempting the Applicant and its salespersons, directors, officers and employees from section 3.1 of Rule 91-502 in connection with Futures Trades; and whereas for the purposes of this ruling and exemption. It is ruled, pursuant to section 38 of the CFA, that the Applicant is not subject to the dealer registration requirement set out in the CFA or the trading restrictions in the CFA in connection with Futures Trades where the Applicant is acting as principal or agent in such trades to, from or on behalf of Permitted Clients provided that: each client effecting Futures Trades is a Permitted Client and, if using a Non-WFS Clearing Broker, has represented and covenanted that the broker is or will be appropriately registered or exempt from registration under the CFA; the Applicant only executes and clears Futures Trades for Permitted Clients on Non-Canadian Exchanges; and at the time trading activity is engaged in, the Applicant: has its head office or principal place of business in the United States; is registered as a futures commission merchant with the CFTC in good standing; is a member in good standing with the NFA; engages in the business of a futures commission merchant in Exchange-Traded Futures in the United States; the Applicant has provided to the Permitted Client the following disclosure in writing: a statement that the Applicant is not registered in Ontario to trade in Exchange-Traded Futures as principal or agent; a statement that the Applicant's head office or principal place of business is located in Charlotte, North Carolina, United States of America; a statement that all or substantially all of the Applicant's assets may be situated outside of Canada; a statement that there may be difficulty enforcing legal rights against the Applicant because of the above; and the name and address of the Applicant's agent for service of process in Ontario; the Applicant has submitted to the Commission a completed Submission to Jurisdiction and Appointment of Agent for Service; the Applicant notifies the Commission of any regulatory action after the date of this ruling in respect of the Applicant, or any predecessors or specified affiliates of the Applicant, by completing and filing with the Commission Appendix "B" hereto within ten days of the commencement of such action; provided that this condition shall not be required to be satisfied for so long as WFSC remains an investment dealer in good standing under Ontario securities laws; the Applicant complies with the filing and fee payment requirements applicable to an unregistered exempt international firm under OSC Rule 13-502 Fees; by December 1 of each year, the Applicant notifies the Commission of its continued reliance on the exemption from the dealer registration requirement granted pursuant to this Decision; and this Decision shall expire five years after the date hereof.

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