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    Improve Your Financial Knowledge - Part 11

    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

     

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