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The Capital Markets Regulation division registers securities firms and their advisers (except firms and their advisors who register with the Investment Industry Regulatory Organization of Canada) and refuse applications from unsuitable candidates. Capital Markets Regulation also audits those securities firms on an on-going basis for compliance with the rules. Better investor protection results when securities firms and advisers understand and comply with the rules.

View our 2018 Annual Compliance Report Card to learn about the compliance findings from BCSC staff reviews during the prior fiscal year, both positive and negative.


2018 Compliance Report Card  

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