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Fee Guide

BCSC brochure explaining investment fees to consumers

British Columbia Securities Commission fee guide for consumers explains: i) why investment fees matter; ii) fiction and fact about fees; iii) different types of fees paid to investment brokers/dealers; and iv) fees associated with mutual funds.

Publisher: Subnational Regulators     Release date: Oct 2016     Country: Canada

Type: Others

Topics: Consumer education and protection, Transparency and disclosure

Sectors: Securities

Risk-Based Market Conduct Regulation

CCIR monograph on a risk-based approach to applying market conduct regulation

Canadian Council of Insurance Regulators defines market conduct and risk-based market conduct regulation, describes outcomes intended to be achieved, suggests the benefits of a risk-based approach, and identifies key principles to underpin risk-based market conduct regulation.

Publisher: Subnational Regulators     Release date: Oct 2008     Country: Canada

Type: Implementation

Topics: Conduct, Risk-based supervision

Sectors: Insurance

Pension Plan Governance Guidelines & Self-Assessment Questionnaire

CAPSA voluntary guidelines for pension plan administrators

Canadian Association of Pension Supervisory Authorities guidelines and self-assessment questionnaire to assist pension plan administrators in fulfilling governance responsibilities by achieving and maintaining good governance practices. Pension plan administrators are expected to take measures to follow the guidelines. CAPSA subsequently released a Frequently Asked Questions companion document in June, 2005, to provide pension plan administrators with general guidance, additional clarification and examples related to the guideline and self-assessment questionnaire.

Publisher: Subnational Regulators     Release date: Oct 2004    

Type: Guideline

Topics: Corporate governance, Risk management, Transparency and disclosure, Compliance function

Sectors: Pensions

Regulatory Framework

Guide for businesses and individuals licensed or registered with FSCO

Financial Services Commission of Ontario (FSCO) regulatory framework summarizes its expectations from businesses and individuals that are licensed or registered with FSCO, stakeholders, consumers, or pension plan members; and what can be expected from FSCO in the regulatory process. Describes: i) FSCO's legislative mandate; ii) how FSCO fulfills its mandate by achieving regulatory outcomes; iii) FSCO's core regulatory activities; and iv) principles that FSCO follows when conducting regulatory activities. 

Publisher: Subnational Regulators     Country: Canada

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Supervisory framework

Sectors: Insurance, Pensions

Total: 4
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