Exempt markets

IIROC fines Toronto brokerage $100,000 for suitability failures

Industry

IIROC fines Toronto brokerage $100,000 for suitability failures

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

By James Langton |January 23, 2020

1 min read

Alberta regulators seek to boost venture markets

Industry

Alberta regulators seek to boost venture markets

ASC hopes to kickstart market activity following decline in energy sector

By Staff |June 27, 2019

1 min read

Decorative pattern

Industry

Associations for private and exempt markets merge

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

1 min read

Decorative pattern

Industry

OSC proposes new rules for raising capital outside Ontario

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

1 min read