Describe two self-regulatory agencies and organizations.

Question

What will be an ideal response?

Answer 1

Several are described in Responsibility for Ethics 11.5 - Stakeholders Protecting the Rights of Owners
Stock exchanges-in particular the Toronto Stock Exchange, the largest in Canada-which provide
markets for trading equity capital and develop and enforce their own rules and regulations relating to
corporate listings and the protection of investors.
Securities Exchange Commissions in each province and territory, of which the Ontario Securities
Commission is the most influential. The 13 securities commissions have formed the Canadian Securities
Administrators organization to coordinate and harmonize regulation of the Canadian capital markets.
Investment Industry Regulatory Organization of Canada (IIROC)-IIROC is the national self-regulatory
organization that oversees all investment dealers and trading activity on debt and equity marketplaces in
Canada.
The Canadian Investor Protection Fund, a not-for-profit organization that provides investor protection for
investment dealer bankruptcy.
The Mutual Fund Dealers Association of Canada, which oversees the sale of mutual funds. It regulates the
activities of members and ensures they adhere to the rules, bylaws, and policies of the MFDA, as well as
applicable securities legislation.