Canadian Securities Regulators Release MFDA Oversight Review Report
(firmenpresse) - VANCOUVER, BRITISH COLUMBIA -- (Marketwired) -- 04/17/13 -- The Canadian Securities Administrators (CSA) today released the Oversight Review Report on the performance of the Mutual Fund Dealers Association of Canada (MFDA).
This coordinated review was undertaken by the seven provincial securities regulators that recognize the MFDA: the Alberta Securities Commission, the British Columbia Securities Commission, the Financial and Consumer Affairs Authority of Saskatchewan, the Manitoba Securities Commission, the New Brunswick Securities Commission, the Nova Scotia Securities Commission, and the Ontario Securities Commission (the Recognizing Regulators).
Overall, the Recognizing Regulators are satisfied that the MFDA met the terms and conditions of the recognition orders in the areas covered during the review period.
The review involved a new, risk-based methodology that assessed the inherent risks of each functional area of the MFDA. The objectives of the review were to:
The Oversight Review Report details the objectives, methodology, report format, scope and findings of the oversight review for the review period from January 1, 2009 to June 30, 2012. The report also includes the MFDA's responses to the report's recommendations and the Recognizing Regulators' evaluation of, and intended follow-up to, those responses.
To view the report, visit the Recognizing Regulators' websites.
The CSA, the council of securities regulators of Canada's provinces and territories, coordinates and harmonizes regulation for the Canadian capital markets.
Contacts:
Alberta Securities Commission
Mark Dickey
403-297-4481
Ontario Securities Commission
Carolyn Shaw Rimmington
416-593-2361
Autorite des marches financiers
Sylvain Theberge
514-940-2176
British Columbia Securities Commission
Richard Gilhooley
604-899-6713
Manitoba Securities Commission
Ainsley Cunningham
204-945-4733
New Brunswick Securities Commission
Wendy Connors Beckett
506-645-7745
Nova Scotia Securities Commission
Tanya Wiltshire
902-424-8586
Financial and Consumer Affairs
Authority of Saskatchewan
Daniela Machuca
306-798-4160
The Office of the Superintendent of Securities, P.E.I.
Janice Callbeck
902-368-6288
Financial Services Regulation Division of
Newfoundland and Labrador
709-729-2594
Office of the Yukon Superintendent of Securities
Rhonda Horte
867-667-5466
Nunavut Securities Officer
Louis Arki
867-975-6587
Northwest Territories Securities Office
Donn MacDougall
867-920-8984
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Datum: 17.04.2013 - 15:00 Uhr
Sprache: Deutsch
News-ID 250035
Anzahl Zeichen: 3449
contact information:
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VANCOUVER, BRITISH COLUMBIA
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