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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]
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.
Reference re Pan‑Canadian Securities Regulation, 2018 SCC 48 is a landmark decision of the Supreme Court of Canada, dealing with the Canadian doctrine of cooperative federalism and how it intersects with the power of the Parliament of Canada over trade and commerce, as well as discussing the nature of parliamentary sovereignty in Canada.
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.
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 British Columbia Securities Commission (BCSC) is a regulatory agency which administers and enforces securities legislation in the Canadian province of British Columbia. See also [ edit ]