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Questions and Answers
Which regulatory body in Canada is responsible for overseeing the securities industry at the national level?
Which regulatory body in Canada is responsible for overseeing the securities industry at the national level?
- Investment Industry Regulatory Organization of Canada (IIROC) (correct)
- Mutual Fund Dealers Association of Canada (MFDA)
- Canadian Securities Administrators (CSA)
- Ombudsman for Banking Services and Investments (OBSI)
Which regulatory body in Canada focuses on resolving disputes between financial services firms and their customers?
Which regulatory body in Canada focuses on resolving disputes between financial services firms and their customers?
- Canadian Securities Administrators (CSA)
- Mutual Fund Dealers Association of Canada (MFDA)
- Office of the Superintendent of Financial Institutions Canada (OSFI)
- Ombudsman for Banking Services and Investments (OBSI) (correct)
Which regulatory body in Canada is responsible for ensuring compliance with securities regulations by mutual fund dealers?
Which regulatory body in Canada is responsible for ensuring compliance with securities regulations by mutual fund dealers?
- Mutual Fund Dealers Association of Canada (MFDA) (correct)
- Investment Industry Regulatory Organization of Canada (IIROC)
- Office of the Superintendent of Financial Institutions Canada (OSFI)
- Canadian Securities Administrators (CSA)
Which regulatory body in Canada plays a role in regulating investment dealers and trading activity?
Which regulatory body in Canada plays a role in regulating investment dealers and trading activity?
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Which regulatory body in Canada is responsible for overseeing federally regulated financial institutions?
Which regulatory body in Canada is responsible for overseeing federally regulated financial institutions?
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