Conduct And Practices Handbook (Cph) Exam Questions (136 Terms) With Verified Definitions Updated 2024

Designated Stock Exchange {Ans: These can be domestic or foreign based. Only securities that are listed on this/these are eligible to be held in RRSPs, TFSAs, or other registered accounts. These must carry out normal business in listing securities, facilitating trading, and offering information to the public. It must have acceptable standards for new and maintenance listings, must operate within a regulatory framework (IOSCO) and must have an experienced management team, and finally must have a range of listings/adequate liquidity for investors to buy and sell securities. There are several different rules if these are foreign; host country must have commercial, legal, and tax relations with Canada, must be in good standing in the international financial community, and must be at low risk of imposing capital restrictions on liquidation of investments.}Integrated Market Enforcement Teams (IMETs) {Ans: These teams were launched in 2003 with the goal of strengthening the law enforcement community's ability to detect, investigate, and deter capital markets fraud. It is a joint initiative of the RCMP and the federal government and they work closely with regulators, SROs, the exchanges, and other federal/provincial authorities with relation to fraud.}Switch order {Ans: This is an order for which