Advisor Team
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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
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