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

Author: International Monetary Fund

Volume/Issue: Volume 2008 Issue 061

Publication date: February 2008

ISBN: 9781451807042

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Topics covered in this book

This title contains information about the following subjects. Click on a subject if you would like to see other titles with the same subjects.

Finance , Investments and Securities-General , Public Finance , ISCR , CR , insider trading , terms and conditions , risk assessment , registration regime , CIS operator , mutual fund , market participant , Securities , Mutual funds , Financial statements , Legal support in revenue administration , IOSCO Objectives and Principles of Securities Regulations

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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.