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.