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...
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...
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...