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(An individual or company in Canada who trades or underwrites securities, or provides investment advice, must register annually with one or more provincial securities regulators.) Created to replace the original paper form system, the NRD increases the efficiency of information filing and sharing between provincial security regulators. [3]
The Office of the Superintendent of Financial Institutions (OSFI; French: Bureau du surintendant des institutions financières, BSIF) is an independent agency of the Government of Canada reporting to the Minister of Finance created "to contribute to public confidence in the Canadian financial system". [1]
In this list of financial regulatory and supervisory authorities, central banks are only listed where they act as direct supervisors of individual financial firms, and competition authorities and takeover panels are not listed unless they are set up exclusively for financial services.
Deposit insurance and resolution authority are also parts of the banking regulatory and supervisory framework. Bank (prudential) supervision is a form of "microprudential" policy to the extent it applies to individual credit institutions, as opposed to macroprudential regulation whose intent is to consider the financial system as a whole.
IIROC was formed on June 1, 2008, through the merger of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS). The Bond Dealers Section of the Toronto Board of Trade was formed in 1916 as a trade organization to coordinate financing of Canada's war effort. It was renamed the Investment Dealers Association ...
[3] When a German company has 500–2,000 employees, the workers select one-third of the supervisory board. [4] When it comes to internal elections the chairman of the supervisory board, the Aufsichtsratsvorsitzender, has two votes in case of a draw. [5] The supervisory board, in theory, is intended to provide a monitoring role. However, the ...
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Most FINTRAC reports can be submitted electronically or in paper. For electronic submissions, reporting entities must be enrolled in FINTRAC's electronic reporting system and can use either FINTRAC's web form or a batch report, which enables the submission of several reports at once using a public key certificate. [17]