Chapter 3: The Canadian Regulatory Framework

In this section

• Securities Regulation in Canada: General Principles and Framework
  Explore the foundational principles of securities regulation in Canada, including investor protection, market fairness, transparency, and systemic risk management, within the collaborative regulatory structure led by provincial and territorial regulators and the CSA.
• Key Government Players Involved in Securities Regulation in Canada
  Explore the roles and responsibilities of key government and regulatory bodies involved in Canadian securities regulation, including provincial regulators, CSA, CIRO, OSFI, Bank of Canada, Department of Finance, and FINTRAC.
• CIRO: Canada's Self-Regulatory Organization for Investment Dealers and Marketplaces
  Explore the role and responsibilities of the Canadian Investment Regulatory Organization (CIRO), Canada's primary self-regulatory body overseeing investment dealers, mutual fund dealers, and marketplace activities. Learn about CIRO's regulatory framework, enforcement mechanisms, proficiency standards, and its commitment to investor protection.
• Investor Protection Funds: Understanding CIPF and CIRO's Role in Protecting Canadian Investors
  Explore how investor protection funds like the Canadian Investor Protection Fund (CIPF) safeguard investor assets in Canada, including coverage limits, eligibility criteria, and CIRO's regulatory oversight post-amalgamation.
• Money Laundering and Terrorist Financing in the Securities Industry: AML and ATF Compliance Explained
  Explore the critical role of anti-money laundering (AML) and anti-terrorist financing (ATF) compliance in Canada's securities industry. Learn about regulatory requirements, client identification (KYC), transaction monitoring, reporting to FINTRAC, and employee training to safeguard financial integrity.