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This Technical Note reviews the International Organization of Securities Commissions’s (IOSCO) Objectives and Principles of Securities Regulation for Monaco. It reveals that overall, there has been progress in implementing the Offshore Financial Center assessment recommendations in most areas of securities regulation, but more needs to be done on key topics. In granting a license to conduct investment activities, the Commission de Contrôle des Activités Financières (Financial Activity Supervisory Commission) considers the professional qualifications of individuals, the company’s systems and controls, and its sources of capital.

Finance: General --- Industries: Financial Services --- Pension Funds --- Non-bank Financial Institutions --- Financial Instruments --- Institutional Investors --- General Financial Markets: Government Policy and Regulation --- Finance --- Financial services law & regulation --- Mutual funds --- IOSCO Objectives and Principles of Securities Regulations --- Financial institutions --- Financial regulation and supervision --- Banks and banking --- State supervision --- Monaco --- Iosco Objectives and Principles of Securities Regulations

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The regulatory framework for the securities market of Canada exhibits high levels of implementation of the International Organization of Securities Commissions’ (IOSCO) Principles. The regulatory framework for most of the areas covered by securities regulation is robust. The general preconditions necessary for the effective regulation of securities markets appear to be in place in Canada. Nevertheless, there are gaps in the regulation and supervision of collective investment schemes (CIS), and enforcement is in need of further improvement, in terms of efficient use of resources.

Securities --- Blue sky laws --- Capitalization (Finance) --- Investment securities --- Portfolio --- Scrip --- Securities law --- Underwriting --- Investments --- Investment banking --- State supervision --- Law and legislation --- Canada --- Economic policy. --- Accounting --- Finance: General --- Investments: General --- Public Finance --- Industries: Financial Services --- General Financial Markets: General (includes Measurement and Data) --- Pension Funds --- Non-bank Financial Institutions --- Financial Instruments --- Institutional Investors --- Public Administration --- Public Sector Accounting and Audits --- Taxation, Subsidies, and Revenue: General --- General Financial Markets: Government Policy and Regulation --- Investment & securities --- Finance --- Financial reporting, financial statements --- Public finance & taxation --- Financial services law & regulation --- Mutual funds --- Financial statements --- Legal support in revenue administration --- IOSCO Objectives and Principles of Securities Regulations --- Financial institutions --- Public financial management (PFM) --- Revenue administration --- Financial regulation and supervision --- Financial instruments --- Finance, Public --- Revenue --- Banks and banking --- Iosco Objectives and Principles of Securities Regulations