Regulators to consult with stakeholder to ensure exemptions strike the right balance between investor protection and efficient capital raising
Campaign will illustrate how scam artists use online ads and social media tools to lure unsuspecting investors in cyberspace
Change would conform with CSA rules and avoid confusion
Common traps include misleading exempt market securities, energy investments
Delay would allow MFDA to harmonize with similar rules being proposed by the CSA
Provincial regulators are bringing more cases to criminal courts and seeking harsher sentences
Both the MFDA and IIROC allow a two-year transition period for firms to get in compliance
Both IIROC and the CSA have released notices on regulations concerning outside business activities for financial advisors. Regulators and legal experts say the rules have been clarified; but from a practical standpoint, little has changed
Some securities regulators are stepping up supervision of promotional ads by issuers, often smaller resources companies
Search for a satisfactory governance model drags on