National Securities Regulator Archives - CARP

National Securities Regulator Posts

The CARP Poll: CARP Fraud Poll Report

March 25, 2015

Key Findings   March 24, 2015: Incidence of members experiencing fraud, either themselves or someone they know, has ...

PEI joins national securities regulator plan

October 18, 2014

Prince Edward Island has joined Ottawas move to create a national securities regulator, bringing the total to five ...

On Investor Protection & Overlapping Mandates: Making Something Everyone's Job Sometimes Makes it No One's Job

March 21, 2014

Earl Jones is also out on Good Behaviour (Just in Time for Fraud Awareness Month) It seems like a good time to pause ...

The CARP Poll Graph

CARP Pre-Throne Speech Poll Report

October 4, 2013

Key Findings October 4, 2013: The vast majority of members agree the latest Parliament had not finished critical ...


Backgrounder: Regulation and Supreme Court Ruling on the National Securities Regulator Act

August 9, 2013

Broad Strokes (The Macro-Economic Context) Canada presents a somewhat embarrassing spectacle at the International ...


Be a Smarty Pants: Check Out CARP’s Investor Protection Reading List

May 4, 2012

Be sure to read/catch up on all of CARP’s Investor Protection articles that you may have missed: 1. An Intro to ...


Ottawa pushes for national securities regulator within year

May 4, 2012

The federal government and most of the provinces and territories are currently working together in a renewed attempt to ...

World Bank

World Bank Recommendations for a Banking and Investments Ombudsman

May 4, 2012

May 4, 2012 – Where would you go if you lost money because a bank, investment firm, or personal advisor gave you poor ...

How Much Regulatory Protection do Investors Need from the Financial Sector?

April 20, 2012

Today workplace pensions are no longer the norm and the Federal government is pushing future retires to invest their ...

Federal Budget Update on Common Securities Regulator

April 14, 2012

The 2012 Federal Budget provides an update on expected action on a Common Securites Regular, subsequent to the December ...