Asked by Bryanna Brace on May 31, 2024
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The Investment Industry Regulatory Organization of Canada,combining the Investment Dealers Association and Market Regulation Services Inc.,is a federal government supervisory agency for the securities industry.
Investment Industry Regulatory Organization
Investment Industry Regulatory Organization is a generic term that refers to a regulatory body responsible for supervising and regulating firms and professionals in the investment industry to protect investors and maintain market integrity.
Securities Industry
A sector comprising firms and institutions that facilitate the issuance, buying, and selling of securities, like stocks and bonds, to finance businesses and investment opportunities.
Federal Government
The national government of a country, responsible for implementing and enforcing laws, and managing the country's affairs.
- Identify the regulatory bodies and their roles in the securities industry in Canada.
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Learning Objectives
- Identify the regulatory bodies and their roles in the securities industry in Canada.
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