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Appendix 4:
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
I. Objectives of Securities Regulation
II. Performance Measurement in Securities Regulation
Advancing Proportionate, More Principles-Based Securities Regulation
I. Principles-Based Securities Regulation
II. Proportionate-Based Securities Regulation
Independent Adjudicative Tribunal
Better Serving Investors
I. Improving Complaint-Handling and Redress Mechanisms
II. Giving a Stronger Voice to Investors
Recommended Regulatory Structure for Canada
I. Concerns with the Current Structure
II. Our Recommended Structure for Canada
III. Why Our Recommended Structure is Better for Canada
IV. Future Directions to Modernize Financial Sector Regulation
Opportunities to Further Strengthen Securities Enforcement
Improving the Regulation of Derivatives in Canada
I. Exchange-Traded Derivatives
II. Over-the-Counter Derivatives
Transition Path
I. Stage One: Establishing the Foundation
II. Stage Two: Transition to the New Regime
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
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