Understand the key differences between exchange-traded and over-the-counter (OTC) derivatives markets, including standardization, liquidity, privacy, and default risk.
An in-depth guide on Mutual Fund Regulatory Organizations for Canadian Securities Course (CSC) certification, focusing on the key self-regulatory organizations and their roles.
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.
An in-depth look at the purpose and importance of regulation in the securities industry, including the objectives of consumer protection, fairness, economic stability, and achieving social objectives.
Explore the principles-based regulatory model in the Canadian securities industry, learn its objectives, benefits over rules-based regulation, and see real-life examples.
A detailed guide on the securities regulation in Canada, including provincial legislation, the role of self-regulatory organizations, and the ongoing discussion around a unified national regulatory authority.
Comprehensive Guide on Disclosure in the Canadian Securities Legislation
