Explore the regulatory framework governing takeover bids and insider trading in Canada, emphasizing market integrity and 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 critical gatekeeper role within the Canadian securities industry, focusing on responsibilities, regulatory frameworks, and maintaining market integrity.
Explore the management of conflicts of interest within the Canadian securities industry, including strategies for avoiding, disclosing, and controlling conflicts to protect client interests and maintain market integrity.
Explore the ethical standards in the financial services industry, focusing on Canadian regulations, prohibited practices, and the impact on market integrity and investor confidence.
Explore the Canadian regulatory environment, focusing on the roles of provincial regulators, SROs, and investor protection funds. Understand principles-based regulation and ethical standards in maintaining market integrity.
