An in-depth examination of the disclosure requirements mutual funds must follow, including the provision of detailed prospectuses and regular financial reports to investors.
An in-depth exploration of the Know Your Client (KYC) rule, emphasizing the process of collecting client data to ascertain the suitability of investment products.
An in-depth look at the regulatory framework governing Exchange-Traded Funds (ETFs) in Canada, focusing on investor protection, market integrity, disclosure, and compliance.
An in-depth exploration of the Canadian Securities Administrators' mandate, major functions, national instruments, and their role in harmonizing regulations across Canada.
An in-depth exploration of the fundamental principles governing securities regulation in Canada, focusing on investor protection, market efficiency, and fairness.
An in-depth examination of the rule-making, policy development, enforcement, and compliance procedures within the Canadian securities regulatory environment.
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 overview of the Investor Compensation Fund's purpose, design, and functioning within the Canadian regulatory framework to safeguard investors.
Industry codes of ethics are crucial in guiding professional conduct and ensuring that financial professionals uphold their obligations to clients.
An in-depth exploration of regulations and strategies to prevent insider trading and market manipulation within Canada's financial markets.
Gain insights into the jurisdiction of provincial securities commissions overseeing mutual fund compliance with regulatory frameworks.
Explore the significance of KYC information in opening accounts, touching on financial interest, changes in clients' circumstances, and compliance with AML and ATF regulations.
This chapter outlines the introduction to regulation in the Canadian securities industry, discussing the roles of regulatory bodies, investor protection, market integrity, and the principles-based regulatory environment.
Learn about the Office of the Superintendent of Financial Institutions (OSFI), its role as Canada's financial regulatory body, and the institutions it oversees.
Explore the principles-based regulatory model in the Canadian securities industry, learn its objectives, benefits over rules-based regulation, and see real-life examples.
Comprehensive Guide on Disclosure in the Canadian Securities Legislation
Explore prohibited sales practices in the Canadian securities industry, including unethical behaviors and specific regulations such as the National Do Not Call List.
