To give Canada a securities regulatory system that protects investors from unfair, improper or fraudulent practices and fosters fair, efficient and vibrant capital markets, by developing a national system of harmonized securities regulation, policy and practice.
The three objectives of securities regulation are:
- The protection of investors
We are here to protect investors from fraudulent, manipulative or misleading practices. We do this by:
mandating full disclosure of information material to investment decisions
educating investors about the risks and responsibilities of investing
authorizing persons who provide investment services to the public and
supervising market intermediaries.
- Fair, efficient and transparent markets
We are here to ensure investors have fair access to market facilities and market or price information through regulation that can detect, deter and penalize market manipulation and unfair trading practices.
- The reduction of systemic risk
We aim to reduce the risk of failure of market intermediaries and when it cannot be avoided, we then seek to reduce the impact on investors and other market participants.
In pursuing these three objectives, securities regulators try to protect investors while supporting efficient capital markets…