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

The regulatory framework for the securities market of Canada exhibits high levels of implementation of the International Organization of Securities Commissionsâ€™ (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.

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Year of publication:	2008-02-13
Institutions:	International Monetary Fund (IMF) ; International Monetary Fund
Subject:	Financial Sector Assessment Program \| Securities regulations \| regulatory agencies \| market participants \| market intermediaries \| securities markets \| iosco principles \| securities regulation \| internal controls \| accounting standards \| enforcement powers \| foreign regulators \| share information \| reporting obligations \| risk management \| insider trading \| legal framework \| regulatory authorities \| collective investment scheme \| capital requirements \| risk assessment \| annual financial statements \| collective investment schemes \| commissioners \| securities regulators \| foreign counterparts \| record keeping requirements \| market integrity \| criminal sanctions \| self regulatory organizations \| administrative sanctions \| financial reporting \| supervisory framework \| law enforcement \| criminal authorities \| exchange information \| compliance program \| market intermediary \| legal frameworks \| market manipulation \| supervisory authorities \| regulatory authority \| adequate powers \| settlement systems \| internal organization \| securities transactions \| material change \| collateralization \| international accounting standards \| deposit insurance \| enforcement authorities \| money laundering \| financial intermediaries \| unusual transactions \| regulatory frameworks \| good faith \| criminal nature \| financial crime \| confidentiality requirements \| financial soundness \| transparency requirements \| self regulation \| risk management systems \| criminal prosecution \| internal policies \| evaluating compliance \| credit risk \| risk categories \| equity securities \| risk model \| self regulatory organization \| due diligence \| foreign authority \| regulatory requirements \| derivative transactions \| insurance coverage \| criminal offence \| beneficial ownership \| pension funds \| investor confidence \| terrorist financing \| legal entities \| internal audits \| criminal enforcement \| market risk \| foreign authorities

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Extent:	application/pdf
Series:	IMF Staff Country Reports.
Type of publication:	Book / Working Paper
Notes:	The text is part of a series IMF Staff Country Reports Number 08/61 5 pages long
Source:	RePEc - Research Papers in Economics

Persistent link: https://www.econbiz.de/10011244876