Explore the significance of KYC information in opening accounts, touching on financial interest, changes in clients' circumstances, and compliance with AML and ATF regulations.
This chapter outlines the introduction to regulation in the Canadian securities industry, discussing the roles of regulatory bodies, investor protection, market integrity, and the principles-based regulatory environment.
Learn about the Office of the Superintendent of Financial Institutions (OSFI), its role as Canada's financial regulatory body, and the institutions it oversees.
Explore the principles-based regulatory model in the Canadian securities industry, learn its objectives, benefits over rules-based regulation, and see real-life examples.
Comprehensive Guide on Disclosure in the Canadian Securities Legislation
Explore prohibited sales practices in the Canadian securities industry, including unethical behaviors and specific regulations such as the National Do Not Call List.
