•  

  Improve Your Financial Knowledge - Part 11

  1-Dec-2022

  35. Securities regulators’ mandate:

  Policy: Develop rules and regulations

  Registration: Administer the registration of market participants

  Compliance: Oversee and monitor registrants for compliance with legislation and regulations

  Enforcement: Enforce the rules, regulations, and legislation. Discipline market participants who breach the rules, regulations, and legislation

  
  36. Canadian Securities Administrators (CSA) manages:

  A) CSA Regulations

  B) Passport System

  C) Electronic Databases

  1) System for Electronic Document Analysis and Retrieval (SEDAR)

  2) System for Electronic Disclosure by Insiders (SEDI)

  3) National Registration Database (NRD)

  4) Cease Trade Order (CTO) National Database

   

  37. Self-Regulatory Organizations:

  MFDA: Mutual Fund Dealers Association of Canada

  IIROC: Investment Industry Regulatory Organization of Canada

  CSF: Chambre de la sécurité financière

  
  Mutual fund dealers

  *** Must be registered with the provincial and territorial securities regulators

  *** Must be the member of the Mutual Fund Dealers Association of Canada (MFDA)

   

  The MFDA's mandate includes:

  * Financial Compliance * Business Conduct Compliance * Enforcement * Regulatory Policy

   

  Mutual fund dealers in the province of Québec are regulated by the Autorité des marchés financiers (AMF).

  Dealing Representatives in Québec must be members of the Chambre de la sécurité financière (CSF).

   

  Non-SRO market participants are directly regulated by the provinces and territories:

  * Scholarship Plan Dealers * Exempt Market Dealers * Investment Counsels / Portfolio Managers * Investment Fund Managers

   

  You can book your consultation at 

  Https://ABCFinancialAdvisor.com/Book-a-Meeting

  Or call us at 647-830-8080

   

  #ABCFinancialAdvisor #Canada #Toronto #Vancouver #FinancialServices #FinancialAdvisor #FinancialAdviser #FinancialAdvice #FinancialPlanning #Finance #Business #RetirementPlanning #InvestmentManagement #Investment #Investing #Investor #Invest #Money #MoneyManagement #MutualFunds #RRSP #RESP #RDSP #TFSA #InsuranceManagement #InsurancePlanning #LifeInsurance #Insurance #InsuranceSpecialist #EstatePlanning #Estate #Financial #WealthManagement

Comments

• (no comments)