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Keyword: Exempt market

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Dealers that connect to the platform can publish their approved deals to their investment advisors

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Referral cases more than doubled from 2018 to 2019

flowering canola, central alberta, canada

Regulator seeks to boost market activity following declines in energy sector

Compliance reviews are increasingly leading to enforcement action

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Although retail investors account for a tiny share of the capital raised, they represent 77% of the number of investors in the exempt market

Office buildings in Toronto’s financial district

New revisions address complaints from institutional investors and foreign investment dealers

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The case highlights the lack of governance requirements for mutual funds that distribute securities in the exempt market

PCMA/NEMA merger will streamline both groups’ operations

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The unified organization ensures a stronger voice for private capital markets in Canada

  • By: Leah Golob
  • February 12, 2018 February 14, 2019
  • 12:25
mergers and acquisitions

The merger would ensure that the private capital and exempt markets have a unified industry voice