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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 Investment Industry Regulatory Organization of Canada (IIROC; French: Organisme canadien de réglementation du commerce des valeurs mobilières, or OCRCVM) was a non-profit, national self-regulatory organization (SRO).
In the Matter of a Reference by the Governor in Council concerning the proposed Canadian Securities Act, as set out in Order in Council P.C. 2010-667, dated May 26, 2010: Citations: 2011 SCC 66 (LexUM), Docket No. 33718 [1] Holding; Bill as proposed is not restricted to matters of genuine national concern, and is therefore unconstitutional.
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 ...
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.
Coinbase Global said in a regulatory filing Wednesday it received a Wells Notice from the Securities and Exchange Commission (SEC) stating that SEC staff had made a "preliminary determination" to ...
The Alberta Securities Commission (ASC) is the securities commission responsible for administering and enforcing securities legislation in the Canadian province of Alberta. [ 1 ] The Alberta Securities Act RSA 2000 , a revision of the original Act that came into effect on January 1, 2002, is the statute that establishes Alberta's securities ...