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The Canadian Securities Transition Office (French: Bureau de transition canadien en valeurs mobilières) is a federal organization that was created to assist in the establishment of a Canadian securities regulation regime and a Canadian regulatory authority. [21]
Early 1960s – Porter Royal Commission reviewed structural and operational issues affecting the financial system and financial institutions in Canada. The commission's report concluded the financial system was sound, but developments had moved beyond the current state of laws and regulatory practices.
In 2013, the Canadian Securities Administrators announced amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations that will require all registered dealers and advisers ...
The System for Electronic Document Analysis and Retrieval (SEDAR) [12] is a mandatory, electronic document filing and retrieval system that allows listed Canadian public companies to report their securities-related information with Canada's securities regulation authorities. It is operated and administered by CGI Information Systems and ...
CIRO was formed on January 1, 2023, through the merger of the Investment Industry Regulatory Organization of Canada (IIROC) and Mutual Fund Dealers Association (MFDA) as the New Self-Regulatory Organization of Canada (New SRO). [5] On April 24, 2023, the name of the Canadian Investment Regulatory Organization (CIRO) was approved by its members. [6]
Bank of Uganda ; Capital Markets Authority (CMA) ; Insurance Regulatory Authority of Uganda: Ukraine: National Securities and Stock Market Commission (NSSMC) United Arab Emirates: Central Bank of the UAE ; Securities and Commodities Authority (SCA) ; Insurance Authority (IA) United Kingdom: Prudential Regulation Authority (PRA) ;
Securities and exchange commissions of Canada (6 P) Pages in category "Financial regulatory authorities of Canada" The following 16 pages are in this category, out of 16 total.
Unlike any other major federation, Canada does not have a securities regulatory authority at the federal government level. The provincial and territorial regulators work together to coordinate and harmonize regulation of the Canadian capital markets through the Canadian Securities Administrators (CSA). [16]