Pen on market data page of a newspaper


Derivatives allow companies and individuals to manage risk by transferring what they consider to be an undesired risk to other interested parties and to gain exposure to certain assets without taking a position on the assets themselves. Financial institutions, pension funds, and other corporations and individuals participate in Ontario’s over-the-counter (OTC) derivatives market.

The Ontario Securities Commission (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.

Securities regulators—both in Canada and in international markets—are adopting reforms that provide a transparent framework for regulating OTC derivatives markets. Our work in this area helps us fulfill our mandate to contribute to the stability of the financial system and to reduce systemic risk. The OSC works closely with the Canadian Securities Administrators (CSA) and the International Organization of Securities Commissions to fulfill Canada’s commitments to the G20 and the Financial Stability Board.


Derivatives participants are required to file the following forms with the OSC through our online filing portal.