Regulatory

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

OSC recognizes Aequitas Neo Exchange

Aequitas Neo Exchange Inc. has been recognized by the Ontario Securities Commission.

By Staff |November 17, 2014

1 min read

IIROC publishes final guidance for Order Execution Services

IIROC has issued final guidance and rule amendments to ensure consistent regulatory oversight of Order Execution Service accounts when third parties access marketplaces electronically.

By Staff |November 13, 2014

1 min read

Diversity adds value: EY

The Canadian Securities Administrators (CSA) recently announced final "comply or explain" disclosure requirements regarding the representation of women on boards and in executive officer positions. While some companies may report because they're asked to, compliance shouldn't be the only reason they want to make diversity more of a focus in their human capital agenda, according to an EY report.

By Staff |November 13, 2014

2 min read