Chapter 2 Flashcards
1
Q
Ch2
A
A
General principles of securities regulation
2
Q
Ch2
B
A
Key players involved in securities regulation
3
Q
Ch2
C
A
Self regulatory organizations (SRO’s)
4
Q
Ch2
D
A
The exchanges and marketplaces in canada
5
Q
Ch2
E
A
Designated stock exchanges
6
Q
Ch2
F
A
Dealing with money laundering and terrorist financing in the securities industry
7
Q
Ch2
G
A
Investor protection funds
8
Q
Ch2
H
A
Protection for depositors
