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Chapter 3: The Canadian Regulatory Environment

In this section

  • The Regulators
    Explore the key regulatory bodies shaping the Canadian securities industry, including provincial commissions, the Canadian Investment Regulatory Organization (CIRO), OSFI, CIPF, and CDIC, and learn about their roles, jurisdictions, and impact on market integrity and investor protection.
  • Regulation and Supervision in Canadian Securities
    Explore how regulation and supervision guide fair, transparent securities markets across Canada. Delve into principles-based versus rules-based frameworks, legislative authorities, registration rules and proficiency, enforcement measures, coordination among regulators, and practical case examples.
  • Remediation in the Canadian Securities Industry
    Explore client complaint processes, dispute resolution, CIPF coverage, and investor education for addressing grievances in Canada's securities market.
  • Ethical Standards in the Financial Services Industry
    Explore fundamental ethical principles, fiduciary duties, and conflict-of-interest disclosures in Canada's financial services sector. Understand the significance of KYC, suitability, and codes of ethics, supported by real-world examples and diagrams.

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Chapter 2: The Capital Market
Chapter 4: Overview of Economics