Explore the MFDA's regulatory influence on mutual fund distribution in Canada to ensure compliance and investor protection.
Explore the roles and services of trust and loan companies in Canada, their regulatory framework, and their significance in financial planning and asset management.
An in-depth look into financial technology (fintech), its impact, key advancements, and how it is challenging traditional financial services in Canada.
An in-depth exploration of robo-advisors, their emergence in the investment landscape, particularly in the United States and Canada, their key features, benefits, and impact on the financial industry.
An in-depth look at the issuance, management, and characteristics of provincial and municipal bonds in Canada. Understand the roles of financial agents, syndicate groups, and institutional portfolios in these securities.
Detailed guide on the simplified prospectus required for mutual funds, including its components, annual filings, and associated documents such as the annual information form.
Comprehensive guide detailing the registration requirements, qualifications, and processes for mutual fund managers, distributors, and sales representatives in Canada.
Comprehensive guide on rules and regulations pertaining to the distribution of mutual funds by financial institutions in Canada, detailed discussion on registration, conflicts of interest, proficiency requirements, and necessary disclosures.
In this chapter, we discussed the structures and regulations of mutual funds, including tax implications, the purchase and redemption process, regulatory bodies, and the Know-Your-Client rule.
Discover the intricate details of how segregated funds are taxed in Canada, including the process of income allocation, tax treatment of guarantees, and the implications for death benefits.
Understand how capital losses are calculated, the rules for worthless and superficial losses, and their implications in Canadian tax law.
A thorough guide to understanding Self-regulatory Organizations (SROs) in Canada, including IIROC and MFDA, and their roles, responsibilities, and impacts on the securities market.
Explore the principles-based regulatory model in the Canadian securities industry, learn its objectives, benefits over rules-based regulation, and see real-life examples.
A detailed guide on the securities regulation in Canada, including provincial legislation, the role of self-regulatory organizations, and the ongoing discussion around a unified national regulatory authority.
Comprehensive guide to the National Registration Database (NRD), explaining its purpose, functionalities, and requirements for investment dealers and their employees in Canada.
A comprehensive guide on the Bank of Canada’s monetary policy framework, focusing on the key tools of interest rates and money supply, and how these are used to manage inflation, demand, and economic stability.
