Expert Panel on Securities Regulation
Creating an Advantage in Global Capital Markets
Appendix 4:
Schematic of Canada’s Securities Regulatory System
Schematic of Canada’s Securities Regulatory System
Table of Contents
- Letter to the Minister
- Mandate
- Chair’s Foreword
- Introduction
- Objectives, Outcomes, and Performance Measurement in Securities Regulation
- Advancing Proportionate, More Principles-Based Securities Regulation
- Independent Adjudicative Tribunal
- Better Serving Investors
- Recommended Regulatory Structure for Canada
- Opportunities to Further Strengthen Securities Enforcement
- Improving the Regulation of Derivatives in Canada
- Transition Path
- Appendix 1: Members of the Expert Panel on Securities Regulation
- Appendix 2: Members of the Legal Advisory Committee
- Appendix 3: Research Commissioned by the Expert Panel on Securities Regulation
- Appendix 4: Schematic of Canada’s Securities Regulatory System
- Appendix 5: The Regulation of Derivatives in Canada
- Appendix 6: Consumer Complaint and Redress Mechanisms in Canada
- Appendix 7: Transition Issues: Memorandum of Understanding
- Appendix 8: Transition Provisions: Explanatory Note for the Market Participant Opt-In
- Appendix 9: List of Recommendations