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 National Do Not Call List (DNCL) regulations, obligations for telemarketers and investment advisors, and the consequences of non-compliance within the Canadian financial landscape.
