Canada: Financial Sector Assessment Program: Detailed Assessment of the Level of Implementation of the IOSCO Principles and Objectives of Securities Regulation

February 13, 2008

Preview Citation

Format: Chicago

Canada: Financial Sector Assessment Program: Detailed Assessment of the Level of Implementation of the IOSCO Principles and Objectives of Securities Regulation, (USA: International Monetary Fund, 2008) accessed November 21, 2024

Summary

The regulatory framework for the securities market of Canada exhibits high levels of implementation of the International Organization of Securities Commissions’ (IOSCO) Principles. The regulatory framework for most of the areas covered by securities regulation is robust. The general preconditions necessary for the effective regulation of securities markets appear to be in place in Canada. Nevertheless, there are gaps in the regulation and supervision of collective investment schemes (CIS), and enforcement is in need of further improvement, in terms of efficient use of resources.

Subject: Financial institutions, Financial regulation and supervision, Financial statements, IOSCO Objectives and Principles of Securities Regulations, Legal support in revenue administration, Mutual funds, Public financial management (PFM), Revenue administration, Securities

Keywords: CIS operator, CR, Financial statements, Insider trading, IOSCO Objectives and Principles of Securities Regulations, ISCR, Legal support in revenue administration, Market participant, Mutual fund, Mutual funds, Registration regime, Risk assessment, Securities, Terms and conditions

Publication Details

Pages:

51
Volume:

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DOI:

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Issue:

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Series:

Country Report No. 2008/061
Stock No:

1CANEA2008003
ISBN:

9781451807042
ISSN:

1934-7685

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