Exempt markets

Proposed regs for exempt market a mistake: Mintz

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

1 min read

Industry

Is Ontario finally getting an OM Exemption?

The OSC wants commentary on four new prospectus exemptions.

By Staff |March 20, 2014

2 min read

Industry

Exempt Market Dealers Association changes name

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

1 min read

Industry

OSC reveals next steps in exempt market review

The OSC outlines next steps of exempt market review.

By Staff |August 28, 2013

2 min read

EMDA announces winners of 2013 awards

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

1 min read

MFDA for stronger supervisory structure

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

1 min read

BC proposes revoking EMD registration exemption

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

1 min read

Exempt markets

Proposed regs for exempt market a mistake: Mintz

Is Ontario finally getting an OM Exemption?

Exempt Market Dealers Association changes name

OSC reveals next steps in exempt market review

EMDs must fix regulatory deficiencies, says OSC

EMDA announces winners of 2013 awards

Rep fined, suspended over private placements

MFDA for stronger supervisory structure

BC proposes revoking EMD registration exemption

Exempt market course to be updated