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Keyword: Exempt markets

28 results found
court gavel regulatory

The firm didn't question the concentration in a high risk, exempt market product, the agreement said

Calgary skyline at night with Bow River and Centre Street Bridge

ASC hopes to kickstart market activity following decline in energy sector

  • By: Staff
  • June 27, 2019 June 27, 2019
  • 13:18

The Private Capital Markets Association of Canada (PCMA) and the National Exempt Market Association (NEMA) have merged, making a new entity that’s the largest private capital markets community in Canada. Traditionally, PCMA’s membership and activities were largely based in Eastern Canada, while NEMA’s were in Western Canada. PCMA, founded in 2002, acts as a national […]

  • By: Staff
  • February 12, 2018 August 21, 2018
  • 15:40

The OSC is seeking comments on proposed new rules for issuers looking to raise capital outside of Ontario. On Thursday the Ontario securities regulator published revised OSC Rule 72-503 Distributions Outside Canada, and proposed Companion Policy 72-503 Distributions Outside Canada. “We have made certain revisions to the rule since its initial publication, including removing resale […]

  • By: Staff
  • June 29, 2017 August 21, 2018
  • 11:50

The overall sweep revealed deficiencies in all areas tested

  • By: Staff
  • May 10, 2017 August 21, 2018
  • 16:33

Cannabis and crowdfunding are coming together with the launch of an equity crowdfunding platform for marijuana businesses.

  • By: Staff
  • March 4, 2016 August 21, 2018
  • 00:00

Securities regulators in five provinces have adopted a new exemption to provide retail investors with greater access to the exempt market.

  • By: Staff
  • January 19, 2016 August 21, 2018
  • 07:01

Members of the CSA have announced that amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) and Multilateral Instrument 13-102 System Fees for SEDAR and NRD will come into force on May 24, 2016.

  • By: Staff
  • December 3, 2015 August 21, 2018
  • 12:16

Scotia Capital has agreed to a $500,000 IIROC fine over the conduct of its subsidiary, DWM Securities, now known as HollisWealth.

  • By: Staff
  • August 11, 2015 August 21, 2018
  • 16:11

CSA has published proposed amendments would require certain exempt market filings to be filed in electronic format on SEDAR.

  • By: Staff
  • June 30, 2015 August 21, 2018
  • 14:25