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 set out the roles and responsibilities of the Minister of Finance, the Chair and CEO of the Commission, the Board, the Executive Director, 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.

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

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

Notice of Arrangements Regarding the Access, Collection, Storage and Use of Derivatives Data

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 Respecting the Oversight of Clearing Agencies, Trade Repositories and Matching Service Utilities

Amended and Restated Memorandum of Understanding concerning oversight of the Ombudsman for Banking Services and Investments among the Canadian Securities Administrators and OBSI

Notice of Ministerial Approval of the Letter of Arrangement between the Office of the Superintendent of Financial Institutions and the Ontario Securities Commission

Notice of Letter of Arrangement between the Office of the Superintendent of Financial Institutions and the Ontario Securities Commission

Memorandum of Understanding between the Commissioner of Competition of the Competition Bureau and the Chair of the Ontario Securities Commission

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 Concerning the Oversight of the Mutual Fund Dealers Association of Canada (MFDA)

Memorandum of Understanding - Agreement among the OSC, the BCSC, the ASC, and the AMF, with respect to the administration and application of surplus funds generated by operations of SEDAR

Memorandum of Understanding Between the Minister of Finance and the OSC

Memorandum of Understanding - Agreement among the OSC, the BCSC, the ASC, and the AMF, with respect to the administration and application of surplus funds generated by operations of SEDAR

Memorandum of Understanding with the Canadian Securities Administrators Relating to the Mutual Reliance Review System

Memorandum of Understanding, Expedited Review of Short Form Prospectuses and Renewal AIFs