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.
An examination of how industry-specific regulations affect corporate strategies and market potential.
Learn how to manage conflicts of interest in mutual fund distribution, ensuring unbiased sales and consumer protection.
Master mutual funds with insights into structures, pricing, compliance, and ethical practices to make informed investment decisions.
Understand regulatory differences between mutual funds structured as corporations versus those as trusts, and learn about compliance requirements.
This comprehensive guide lists and explains the general requirements for mutual funds with respect to filing, documentation, and regulatory adherence in Canada.
Comprehensive guide to mutual fund restrictions including management limitations, regulatory controls on derivatives, prohibited selling practices, and detailed reporting requirements for mutual funds in Canada.
Comprehensive overview of Exchange-traded Funds (ETFs) regulations, features, and comparative benefits in the context of the Canadian Securities Course.
