Securities Enforcement Trends and What’s Ahead for 2016

Securities enforcement activities in Canada are overseen by several agencies, including the Canadian Securities Administrators, the Investment Industry Regulatory Organization of Canada, the Ontario Securities Commission, the Autorité des marchés financiers and the Alberta Securities Commission.

The infographics below are based on data published by these respective organizations and cover the time period up to the end of 2015. They summarize recent securities enforcement activities and highlight upcoming changes for 2016.

CSA

Canadian Securities Administrators

IIROC

Investment Industry Regulatory
Organization of Canada

OSC

Ontario Securities Commission

AMF

Autorité des marchés financiers

ASC

Alberta Securities Commission

 

 

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