3.2 Regulation and Supervision

In this section

• 3.2.1 Principles of Securities Regulation
  An in-depth exploration of the fundamental principles governing securities regulation in Canada, focusing on investor protection, market efficiency, and fairness.
• 3.2.2 Regulatory Processes
  An in-depth examination of the rule-making, policy development, enforcement, and compliance procedures within the Canadian securities regulatory environment.
• 3.2.3 Supervision of Market Participants
  An in-depth exploration of the supervisory mechanisms employed to ensure compliance among market participants, focusing on continuous monitoring and a risk-based approach.
• 3.2.4 Surveillance and Monitoring Practices
  An in-depth look at trade surveillance and automated monitoring tools in the Canadian regulatory framework.