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Concerns about the provincial system of securities regulation have led to repeated calls for a national securities system in Canada. As of June 2021, the Canadian government is working towards establishing a national securities regulatory system to provide: better and more consistent protection for investors across Canada;
CSI provides licensing and testing to meet the regulatory requirements to work within the Canadian financial services industry. It is endorsed by the Investment Industry Regulatory Organization of Canada (IIROC), and Canadian Securities Administrators (CSA). [1] CSI is based in Toronto and Montreal and owned by Moody's Analytics. The ...
A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a commission, markup, or fee.In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange.
Namibia Stock Exchange (NSX) semi-annual Stock-brokering Exams; Nigerian Stock Exchange (NSE) offers a few certificate programs including: Module 1: The role and responsibilities of compliance officers in the capital market; Module 2: Compliance risk based monitoring programmes; Module 3: Conduct of business obligations of a broker dealer firm
In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and derivatives trading process.
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