Common questions

Who regulates derivatives in Canada?

Who regulates derivatives in Canada?

There is no regulatory organization in Canada called the Canadian Office of Derivative Trading (CODT). In Canada, securities and derivatives trading is overseen by provincial and territorial securities regulators. The CSA believes the website is being used by fraudsters to lend credibility to their investment scams.

What do Canadian Securities Administrators do?

About Us. Securities regulators from each of the 10 provinces and 3 territories in Canada have teamed up to form the Canadian Securities Administrators (CSA). The CSA protects Canadian investors from unfair, improper, or fraudulent practices and fosters fair and efficient capital markets.

How many securities are regulatory in Canada?

Resources are used in keeping 13 separate securities regulators operating in Canada.

How many Iiroc advisors are there in Canada?

IIROC oversees approximately 175 firms and their 30,000 registered representatives. We refer to the firms that we regulate as IIROC Dealer Members….Dealers we regulate.

Organization Name Address
AGF Securities (Canada) Limited 66 Wellington Street West Suite 3100 Toronto ON M5K 1E9 416-865-4176

What is called the amount of cash put up by an investor in futures which is a fraction of the value the asset?

What is called the amount of cash put up by an investor, which is a fraction of the value the asset? cash contract.

What is the equivalent of SEC in Canada?

SEDAR is the Canadian equivalent of the SEC’s EDGAR, the U.S. electronic system for filing securities information.

What do securities administrators do?

For example, the securities administrator in your state is responsible for licensing securities firms and investment professionals, such as broker-dealers and investment advisers, registering certain securities offerings, reviewing financial offerings of small companies, auditing branch office sales practices and …

What is the main regulatory authority in Canada?

OSFI regulates by developing rules, interpreting legislation and regulations and providing regulatory approvals for certain types of transactions. It also contributes to new accounting, auditing and actuarial standards.

How do I get IIROC certified?

In order to apply to IIROC, an individual must be sponsored by an IIROC-regulated Dealer Member. Dealer Members are encouraged to conduct due diligence on applicants, including by requesting a copy of their registration file from IIROC.