Explore the principles-based regulation approach in Canadian finance, its advantages, challenges, and practical applications.
Explore the complexities of securities regulation in Canada, including provincial legislation, the absence of a federal regulator, and efforts towards harmonization.
Explore the principles of full, true, and plain disclosure in Canadian securities legislation, the role of prospectuses, and the importance of transparency for investor protection.
Explore the registration requirements for securities dealers and investment advisors in Canada, including the role of the National Registration Database (NRD), the process for becoming a Registered Investment Advisor or Investment Representative, and ongoing compliance obligations.
Explore the key regulatory bodies governing the Canadian securities industry, including provincial and territorial roles, with a focus on Quebec's AMF and OSFI.
Explore the management of conflicts of interest within the Canadian securities industry, including strategies for avoiding, disclosing, and controlling conflicts to protect client interests and maintain market integrity.
Explore the role, mission, and initiatives of the Canadian Securities Administrators (CSA) in harmonizing securities regulation across Canada. Understand the development of national policies and their significance in the Canadian financial landscape.
Explore the interconnectedness of Canadian regulatory bodies, SROs, and investor protection mechanisms, and the future outlook for securities regulation in Canada.
Explore key terms and concepts in the Canadian regulatory environment, essential for mastering the CSC® Exam.
