1.2 Regulatory Environment

In this section

• Compliance and Enforcement in Canadian Securities
  Explore the compliance obligations, enforcement mechanisms, and best practices in the Canadian securities industry.
• Regulatory Framework Changes in the Canadian Securities Industry
  Explore the drivers behind regulatory changes in the financial sector, recent reforms, and how technological advancements impact regulation. Learn how firms adapt and strategies for staying informed.
• Federal and Provincial Regulations in Canadian Securities
  Explore the dual regulatory framework in Canada, focusing on the roles of federal and provincial authorities in securities regulation.
• Key Regulatory Bodies and Their Roles in the Canadian Financial System
  Explore the main regulatory bodies overseeing Canada's financial system, including OSFI, the Bank of Canada, and provincial securities commissions. Understand their roles, interplay, and impact on financial stability.
• Self-Regulatory Organizations (SROs) in Canadian Finance
  Explore the role and impact of Self-Regulatory Organizations (SROs) like IIROC and MFDA in the Canadian financial system, their regulatory functions, and the benefits of self-regulation.