Explore the critical role of investment dealers in the Canadian securities industry, including their functions, regulatory environment, and impact on financial markets.
Explore the regulatory framework and structural intricacies of Exchange-Traded Funds (ETFs) in Canada, focusing on National Instruments 81-102 and 81-104, and the roles of MFDA and IIROC.
Explore the essential documentation and regulatory requirements for managed accounts under IIROC guidelines, including agreements, compliance, and best practices.
Explore the critical importance of compliance in the Canadian securities industry, focusing on provincial laws, SRO regulations, and the consequences of non-compliance.
Explore the evolution of Canadian financial markets, the role of regulation in ensuring investor protection and market integrity, and the dynamic relationship between regulators and industry participants.
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 critical gatekeeper role within the Canadian securities industry, focusing on responsibilities, regulatory frameworks, and maintaining market integrity.
Explore the Client Relationship Model (CRM) reforms by IIROC, focusing on transparency and suitability assessments in client-advisor relationships within the Canadian financial landscape.
Explore the critical role of Self-Regulatory Organizations (SROs) in Canada's financial regulatory framework, including their functions, responsibilities, and impact on the securities industry.
Explore the role of the Investment Industry Regulatory Organization of Canada (IIROC) in overseeing investment dealers and trading activities, setting regulatory standards, and ensuring market integrity across Canada.
Explore the Canadian Investor Protection Fund (CIPF), its role in safeguarding investors, coverage mechanisms, and funding structure. Learn how CIPF ensures financial security for clients of IIROC member firms.
A comprehensive recap of key concepts in securities financing and listing, emphasizing regulatory compliance and market dynamics in Canada.
