InfoPEIHOME / GOVERNMENT / GOVINFO / LAW AND JUSTICE / SECURITIES / Industry Regulations How do the Canadian Securities Administrators (CSA) regulate the industry?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. Contact Charlottetown | ||||||
