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Canadian securities regulation is managed through the laws and agencies established by Canada's 10 provincial and 3 territorial governments. Each province and territory has a securities commission or equivalent authority with its own provincial or territorial legislation.
The National Registration Database (NRD) is a Canadian web-based database that allows security dealers and investment advisors to file registration forms electronically. (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.)
Canadian Investment Regulatory Organization; L’Organisme canadien de réglementation des investissements: Abbreviation: CIRO/OCRI: Formation: 2023: Type: Organizations based in Canada: Legal status: active: Purpose: Monitors members for securities law compliance; enforces securities regulations through quasi-judicial proceedings: Headquarters
Ministry of Development (MR) – Central Registration and Information on Business (CEIDG) [70] – company register for natural persons trading as sole traders or their civil law partnerships (searchable); such companies are prohibited from performing certain activities (e.g. operating a life insurance company), and proper agricultural activity ...
The CSA (Canadian Securities Administrators) investigated IIROC for the loss of personal financial data of thousands of brokerage clients after IIROC announced that it lost a mobile device containing the information. The device had not been encrypted, which is in violation of IIROC policy.
The Ontario Securities Commission (OSC; French: Commission des valeurs mobilières de l’Ontario) is a regulatory agency which administers and enforces securities legislation in the Canadian province of Ontario. The OSC is an Ontario Crown agency which reports to the Ontario legislature through the Minister of Finance.
Exempt market dealer (EMD) is a Canadian financial regulatory category of broker-dealer that is allowed to deal in exempt market securities across the country. Unlike other dealer types they have less regulation and are not required be a member of a self-regulatory organization such as the Investment Industry Regulatory Organization of Canada (IIROC) but still need to be registered and still ...
The AMF was established by the act 2002-45 of December 11, 2002 under the name of the "National Financial Sector Management Agency", in order to integrate the functions of the Bureau des services financiers (Quebec) and the Commission des valeurs mobilières du Québec (Securities Commission of Quebec), which were created by The laws bill 2002 ...