The Canadian Securities Administrators (CSA) is responsible for regulating mutual funds to ensure transparency and investor protection.
KYC regulations ensure that advisors gather relevant information about clients to recommend suitable investments and prevent financial crime.
The IFIC represents the investment funds industry, focusing on education, advocacy, and ensuring best practices for compliance and standards.
CRM regulations ensure transparency, requiring advisors to disclose fees, risks, and conflicts of interest to clients.
AML requirements involve monitoring transactions, identifying suspicious activities, and reporting them to FINTRAC to prevent money laundering.
OSFI regulates and supervises federally regulated financial institutions to maintain stability and public confidence in the financial system.
