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The Canadian Securities Transition Office (French: Bureau de transition canadien en valeurs mobilières) is a federal organization that was created to assist in the establishment of a Canadian securities regulation regime and a Canadian regulatory authority. [21]
The CSA consists of the securities regulators of the 10 provincial and 3 territorial governments of Canada. [8] The CSA Chairs are the respective chairs of the securities regulators of the 10 provinces and 3 territories of Canada. [9] They meet quarterly in person. A chair and vice-chair of the CSA are elected by members for two year terms. [8]
The Bre-X mining fraud convinced Canadians to regulate professional geology in Canada. [24] The Securities regulation National Instrument 43-101 was created in the wake of the Bre-X fraud to protect investors from unsubstantiated mineral project disclosures. [25]
The CSA (Canadian Securities Administrators) investigated IIROC for the loss of personal financial data of thousands of brokerage clients after IIROC announced that it lost a mobile device containing the information. The device had not been encrypted, which is in violation of IIROC policy.
It is overseen and enforced by the Canadian Securities Administrators. NI 43-101 applies broadly to companies both public and private, and to a variety of disclosures types including mineral exploration reports, reporting of resources and reserves , presentations, oral comments, and websites.
In 2013, the Canadian Securities Administrators announced amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations that will require all registered dealers and advisers ...
He was charged with fraud and theft over $5,000. Sorenson was brought before a justice of the peace and was released on bail of $150,000 cash or $300,000 surety, [6] though he had to surrender his Canadian passport to authorities and was required to remain in Alberta to report weekly to the RCMP. If convicted, he could face a sentence of up to ...
The Canadian Anti-Fraud Centre (CAFC; formerly known as PhoneBusters National Call Centre) is Canada's national anti-fraud call centre and central fraud data repository. [1] It was established in January 1993 in North Bay, Ontario, and is jointly operated by the Ontario Provincial Police, Royal Canadian Mounted Police and the Competition Bureau ...