Keyword: Exempt markets

28 results found

Many aren’t aware the exempt market is much larger than the stock market. But governments are, and regulators are promising to crack down on this largely unregulated market with stricter controls and smaller investing limits.

  • By: Staff
  • November 20, 2014 August 21, 2018
  • 14:21

The OSC wants commentary on four new prospectus exemptions.

  • By: Staff
  • March 20, 2014 August 21, 2018
  • 11:44

The Exempt Market Dealers Association of Canada (EMDA) has changed its name to the Private Capital Markets Association of Canada / l'Association du marché des capitaux privés du Canada. PCMA was originally established in 2002 as the Limited Markets Dealers Association of Canada.

  • By: Staff
  • March 19, 2014 August 21, 2018
  • 10:09

The OSC outlines next steps of exempt market review.

  • By: Staff
  • August 28, 2013 August 21, 2018
  • 12:08

The OSC has released findings of its targeted review of portfolio managers and exempt market dealers.

  • By: Staff
  • May 31, 2013 August 21, 2018
  • 11:05

The Exempt Market Dealers Association of Canada (EMDA) announced the winners of the 2013 EMDA Awards. The awards, created to recognize the exempt market deal of the year, will be presented today at the 2013 EMDA Exempt Market Conference in Toronto. Also read: IIROC updates Restricted Dealer Member Proposal “The winners are helping to finance […]

  • By: Staff
  • May 2, 2013 August 21, 2018
  • 11:44

A rep admitted to failing to use due diligence when recommending a private placement to his clients.

  • By: Staff
  • April 23, 2013 August 21, 2018
  • 05:59

The Mutual Fund Dealers Association of Canada (MFDA) has advised fund dealers to take more stringent supervisory measures to determine suitability of investments as they relate to seniors, sale of exempt securities, and use of leverage. Read: MFDA revises rep’s terms of settlement In a bulletin detailing its regulatory priorities, the SRO recommends dealers “assess […]

  • By: Staff
  • April 3, 2013 August 21, 2018
  • 14:03

The British Columbia Securities Commission is considering requiring people to register as EMDs, even if they sell only private placement securities. In 2009, British Columbia, Alberta, Manitoba, Saskatchewan, Northwest Territories, Nunavut, and Yukon provided an exemption from the requirement to register as EMDs for persons selling only private placement securities under the capital raising exemptions. […]

  • By: Staff
  • January 3, 2013 August 21, 2018
  • 12:34

The EMDA plans to work with the IFSE Institute to revise the content of the current Exempt Market Products course.

  • By: Staff
  • November 16, 2012 August 21, 2018
  • 11:53