25-303 - 2021 CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds (Archived)

25-303 - 2021 CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds (Archived)

• 25-303 CSA Staff Notice

  This report summarizes the key oversight activities of CSA staff (Staff) and their assessment of SRO and IPF compliance with securities legislation requirements, including the terms and conditions of recognition or approval/acceptance. As part of our continuing efforts to be transparent and foster public confidence in the regulatory framework, Staff intend to publish an activities report on the CSA’s oversight of the new SRO and new IPF on an annual basis, going forward.

  This report covers the period of January 1 – December 31, 2021.

  There is a new version available dated April 20, 2023.

  25_303_csa_staff_notice_april_28_2022.pdf