Examining the implications of new regulations on compliance requirements for market participants, and measures to enhance investor protection and market transparency.
An in-depth exploration of the prospectus requirements for corporate financing, focusing on disclosure obligations and investor protection.
Comprehensive overview of the regulatory framework governing mutual funds in Canada, including the role of government regulations and the functions of regulatory bodies.
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 exploration of the role and structure of Canadian securities regulators, essential for ensuring market integrity and investor protection.
An in-depth exploration of the fundamental principles governing securities regulation in Canada, focusing on investor protection, market efficiency, and fairness.
An in-depth overview of the Investor Compensation Fund's purpose, design, and functioning within the Canadian regulatory framework to safeguard investors.
Learn how to maintain ethical standards and comply with regulations in mutual fund sales to protect investor interests and build trust.
Learn about prohibited sales practices in mutual funds, and maintain investor trust and compliance by avoiding unauthorized repurchase offers.
Understand the processes and reasons behind the withdrawal of trading privileges on stock exchanges, including temporary interruptions and delisting procedures.
Comprehensive guide on the unique features of hedge funds including incentive fees, high-water marks, hurdle rates, liquidity, transparency, and investor protection.
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.
A comprehensive guide to understanding the investor protection funds available in the Canadian securities industry, including detailed explanations of CIPF, MFDA IPC, CDIC, and provincial insurance corporations.
Comprehensive guide on arbitration for dispute resolution in the Canadian securities industry, covering process, criteria, and benefits.
