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Industry Regulations

The CSA members register individuals and companies who give advice about or trade in mutual funds and other securities; review prospectuses filed by public companies offering their securities for sale to the public; monitor continuous disclosure documents such as financial statemnts of security issuers; conduct compliance reviews of stockbrockers, dealers and their salespersons; grant discretionary exemptions from registration and prospectus requirements; investigate possible violations of securities laws; and commence proceedings before a Securities Commission (in provinces that have a Commission) or the Provincial Court.

Service Location

Shaw Building

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