Unit 1 IFIC: Introduction to Mutual Fund Responsibilities and Ethics

Unit 1 IFIC: Introduction to Mutual Fund
Responsibilities and Ethics

-CSA

-MFDA

-OBSI

-IIROC

-OSFI - correct answer ✔✔list the national regulatory bodies for mf industry



• protect investors from unfair, improper and fraudulent practices

• promote fair and efficient capital markets

• promote confidence in capital markets

• reduce systemic risk - correct answer ✔✔what are the securities regulators mandate?



It is a forum for Canada's Securities Regulators to improve, coordinate, and harmonize
regulation of the Canadian capital markets. - correct answer ✔✔Canadian Securities
Administrators (CSA)



• to protect investors from unfair, improper, or fraudulent practices

• to foster fair and efficient capital markets

• to reduce risks to the market's integrity, and to investor confidence in the markets - correct
answer ✔✔list CSA's mandate



The Mutual Fund Dealers Association of Canada (MFDA) is the self-regulatory organization for
the distribution side of the Canadian mutual funds industry. - correct answer ✔✔Mutual Fund
Dealers Association of Canada (MFDA)