Regulatory

Regulators adopt prospectus exemption

The securities regulatory authorities in British Columbia, Alberta, Saskatchewan, Manitoba, Québec, New Brunswick, Nova Scotia, Yukon, Northwest Territories, Nunavut, and Prince Edward Island today adopted a prospectus exemption that, subject to certain conditions, will allow issuers listed on the Toronto Stock Exchange (TSX), TSX Venture Exchange (TSX-V), and the Canadian Securities Exchange (CSE) to raise money by distributing securities to their existing security holders.

By Staff |March 14, 2014

2 min read

Should you take a no-contest settlement?

Wrongdoers may no longer have to admit guilt when settling with OSC.

March 13, 2014

3 min read

Judge orders former Goldman VP to pay $825K

Fabrice Tourre, a former Goldman Sachs Group trader, has been ordered to pay $825,000 by a U.S. judge, reports Reuters.

By Staff |March 12, 2014

1 min read

IIROC may cut capital requirements

IIROC has published for comment a concept paper to consider the possibility of establishing lower minimum capital requirements for dealer members with reduced risk profiles.

By Staff |March 12, 2014

1 min read