Chapter 3: The Canadian Regulatory Framework
In this section
-
General Principles of Securities Regulation in Canada
Explore the fundamental principles behind securities regulation in Canada and learn how these frameworks protect investors, uphold market integrity, and foster transparency in the financial system.
-
Key Government Players Involved in Securities Regulation
Explore Canada's securities regulatory structure, featuring provincial commissions, the CSA, CIRO, OSFI, the Bank of Canada, the Department of Finance, and FINTRAC.
-
Self-Regulatory Organization (CIRO) and Its Role in the Canadian Regulatory Framework
Explore how the Canadian Investment Regulatory Organization (CIRO) upholds investor confidence, enforces securities rules and regulations, and ensures market integrity across Canada.
-
Investor Protection Funds
Discover how Canadian investor protection funds, including the Canadian Investor Protection Fund (CIPF), defend investors against member firm insolvencies. Learn about coverage limits, eligibility, and best practices in this comprehensive guide.
-
Money Laundering and Terrorist Financing in the Securities Industry
Learn how Canadian securities firms combat money laundering and terrorist financing through robust compliance programs, client due diligence, and ongoing monitoring.
Disclaimer: Securities Exams Mastery provides independent study materials to help students prepare
for exams administered by the Canadian Securities Institute (CSI). Our products and materials are
not affiliated with, sponsored by, or endorsed by the Canadian Securities Institute (CSI) or the
Canadian Investment Regulatory Organization (CIRO). All trademarks, including CSC®, CPH®, and
others, are the property of their respective owners.