Securities
Canada Post Strike
Filing with the Commission – all required filings by market participants should be made by courier or email, unless the filing is required to be made through SEDAR+, SEDI or NRD. Contact us for more information.
Documents to Securityholders – issuers must make reasonable efforts to ensure that required documents are made available to securityholders upon request. In addition, documents must be mailed to all securityholders, as required, upon the resumption of normal mail service. For more information, please review Blanket Order 51-501 - Exemption from the Requirement to send Financial Statements and Related Disclosure to Securityholders during a Disruption in Postal Service.
The Securities Division administers the Securities Act through the regulation and oversight of registrants, securities issuers, and self-regulatory organizations. It reviews offering documents, continuous disclosure documents, and exemption applications to ensure these filings comply with securities laws.
This division reviews applications for registration from dealers and advisers who are in the business of trading or advising in securities. Compliance staff regularly conduct compliance reviews on the operations and practices of registered firms and the disclosure of issuers. Staff participate on national committees respecting the development and drafting of securities laws and policies.
Reports and Publications
Research Findings on the Impacts of CRM2 and POS on Investor Knowledge, Attitudes, and Behaviour
The Canadian Securities Administrators has published reports that examined the investment fund industry and investor behaviour following the implementation of the Client Relationship Model Phase 2 (CRM2) Amendments.
2024 Reports
Report on Investment Fund Performance
Report on Investment Fund Fees
2019 Reports
CSA Summary Report 2016-2019 Investor Research Findings on the Impact of CRM2 and POS
Innovative Research Group Inc. CRM2/POS 3-Year Tracking Study September 2019 Report
SEDAR+
The CSA is modernizing the electronic filing and data access systems that underpin Canadian securities regulation. SEDAR+ is the new, secure web-based platform that will be used by all market participants to file, disclose and search for information in Canada’s capital markets.
