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The Canadian Securities Transition Office was implemented in July 2009 by the Government of Canada through the "Canadian Securities Regulation Regime Transition Office Act". [21] Doug Hyndman was made the Chair and Chief Executive Officer of the Transition Office, and Bryan Davies the Vice-Chair.
IIROC operates under Recognition Orders from the Canadian Securities Administrators [8] (CSA), which is the umbrella for Canada's provincial and territorial securities regulators. IIROC is subject to CSA oversight and regular operational reviews.
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
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.)
Canada does not have a national securities regulator, and each province and territory regulates its own capital markets; OSC regulates the capital markets in Ontario. [3] Other notable provincial regulators include the Alberta Securities Commission, the Autorité des marchés financiers (Québec), and the British Columbia Securities Commission.
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.
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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 ...