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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.
CIRO operates under Recognition Orders from the Canadian Securities Administrators (CSA), which is the umbrella for Canada's provincial and territorial securities regulators. CIRO is subject to CSA oversight and regular operational reviews. [9] It operates according to its By-Law No. 1. [10] [11]
The legislation encompasses many areas. It is perhaps best known for clauses that provide equivalent legislation to the U.S. Sarbanes–Oxley Act (SarbOx) to protect investors by improving the accuracy and reliability of corporate disclosures. Thus, it is also known as the "Canadian Sarbanes–Oxley" act or C-SOX (see-socks).
Canadian securities regulation is unique in that the field is solely regulated by provincial and territorial governments. While those governments have worked to harmonize many of their policies, there is still enough variation that securities issuers must reconcile in order to have their securities trade among residents in each of the jurisdictions involved.
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 ...
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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.
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