Tag: CSA
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Five ways regulation protects investors
1. Meeting the standards
Dealers, advisers and investment fund managers must demonstrate fitness for registration at the time they apply for registration, and they must...
Registration categories
Dealers and advisers – know the difference
“Dealer” and “adviser” aren’t just titles – they’re legal terms that describe a range of people who can...
How registration protects investors
Generally, anyone selling securities, offering investment advice or acting as an investment fund manager in Canada must register with a securities regulator.
4 key things...
Enforcement Report 2013 – CSA
MESSAGE FROM THE CHAIR
Each year securities law violations become more complex. CSA members investigate cases that involve more complex schemes, greater levels of subterfuge...
