An in-depth look at the current structure of the Canadian securities market including primary and secondary markets, organizational hierarchy, and market segments.
A detailed examination of the various types of securities within the Canadian securities industry including equities, fixed-income securities, derivatives, and alternative investments.
This section explores the central functions of investment dealers, including their roles in intermediation, risk management, and the production of research and analysis to support investment decisions.
An in-depth look at brokerage services and the crucial roles they play within the Canadian securities industry, focusing on execution of trades and account management.
An in-depth exploration of the underwriting process, syndication, and the role of initial public offerings (IPOs) in raising capital within the Canadian securities industry.
Understanding market making and the importance of liquidity provision in the securities market with insights into bid-ask spreads and the distinction between principal and agency transactions.
Detailing the critical advisory services provided by investment dealers, focusing on financial planning, mergers and acquisitions, and wealth management.
Explore the role of mutual funds as financial intermediaries, and learn about investment pooling, fund types, and the regulatory framework governing mutual funds in Canada.
An in-depth analysis of insurance companies as financial intermediaries in the Canadian securities industry, focusing on their investment activities and risk mitigation strategies.
Examining the implications of new regulations on compliance requirements for market participants, and measures to enhance investor protection and market transparency.
An in-depth analysis of market consolidation within the Canadian securities industry, highlighting trends in mergers and acquisitions, and their impact on competition.
An exploration of the various providers of capital, including individual investors, institutional investors, and government and corporate issuers, and their roles in the capital markets.
An in-depth analysis of how various sectors utilize investment capital, focusing on corporate financing, public sector funding, and individual borrowing to drive economic activities.
An in-depth exploration of debt instruments including government bonds, corporate bonds, and money market instruments in the context of the capital market.
An in-depth exploration of derivative instruments such as options, futures, forwards, swaps, and other complex products, highlighting their uses in risk management and speculation.
A comprehensive analysis of alternative financial instruments available in the Canadian capital market, focusing on Real Estate Investment Trusts (REITs), Hedge Funds, and Exchange-Traded Funds (ETFs).
An in-depth exploration of auction markets, highlighting their mechanics, notable examples like the New York Stock Exchange, and the advantages they offer, including transparency and efficiency.
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 examination of provincial securities commissions, their roles, functions, variations in regulations across provinces, and their processes for licensing and oversight.
An in-depth examination of Self-Regulatory Organizations (SROs) in the Canadian securities industry, including IIROC and MFDA, and their operational authority.
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.