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► Responsive       ► Collaborative         ► Effective

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Responsive enforcement acts quickly and appropriately to identify,
investigate and initiate proceedings in cases of misconduct.
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Collaborative enforcement prevents misconduct from spreading
across borders and promotes efficiency within and across jurisdictions
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Effective enforcement strengthens public confidence in
Canadian capital markets.

Bill Rice
Chair, CSA

Deterring securities violations, protecting investors and fostering fair and efficient capital markets in Canada via the enforcement of provincial and territorial securities laws are core responsibilities of the regulators that make up the Canadian Securities Administrators (CSA). While members of the CSA lead investigations and initiate enforcement actions in their own jurisdictions, their participation in the CSA enables collaboration among jurisdictions and the exchange of information regarding enforcement trends, initiatives, best practices and priorities.

Collaboration and cooperation are vital elements of the CSA’s enforcement mandate. CSA members maintain constant contact with each other, seeking and offering advice on files, providing assistance and conducting joint investigations. They maintain a commitment to enforcement by sharing information and ensuring that current and emerging trends in securities misconduct help inform each member’s enforcement priorities.


2014 Enforcement Report

Browse around this site to review the 2014 Enforcement Report. To download or print the entire report, click here.