Please answer the following clearly so, I read them. According to Canadian regulations. Provincial Securities Acts are
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Question:
Please answer the following clearly so, I read them. According to Canadian regulations.
Provincial Securities Acts are based on what three broad principles of the regulation (describe)?
What are some of the required documents that must be filed under continuous disclosure requirements? (Name three and describe))
Provincial Administrators are empowered to take what investigative and prosecutorial actions? (name three and describe)
Describe three types of securities according to NI 31-103?
What are the three types of firms (describe)?
What is the efficient market hypothesis?
Describe at least three types of 'Behavioral Finance' issues or theories.
What are a fiduciaries duties? (name at least three)
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