An in-depth exploration of the prospectus requirements for corporate financing, focusing on disclosure obligations and investor protection.
Understanding the integral role of compliance with industry standards in the realm of financial advisory services.
An in-depth exploration of the supervisory mechanisms employed to ensure compliance among market participants, focusing on continuous monitoring and a risk-based approach.
An in-depth look at trade surveillance and automated monitoring tools in the Canadian regulatory framework.
Explore AML and ATF compliance for mutual funds, focusing on KYC procedures, large transactions, and preventing financial crimes.
Explore NI 81-101 & NI 81-102 regulations for mutual funds, ensuring transparency, fair practices, and investor protection.
Understand mutual fund prospectus and Fund Facts requirements for transparent and informed investor decisions. Stay compliant and accurate.
Learn about the process of establishing new accounts in accordance with KYC rules, including the necessary forms and information required.
Comprehensive guide to the National Registration Database (NRD), explaining its purpose, functionalities, and requirements for investment dealers and their employees in Canada.
