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Keyword: Exempt market

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Fraudsters could exploit stock market turmoil, regulators warn

rules and regulations written on folder

The group says investors need greater protections and oversight in private offerings

compliance puzzle

Firm failed to meet filing, solvency requirements

Upset confused businessman looking at laptop screen at workplace in modern office. Stressed young CEO at work desk looking at computer in disbelief about failing report statistics, bad mistake made.

The proposal would expand the definition of accredited investor

stock exchange graph

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

Businessmen trading stock looking at graphs indexes and numbers on multiple computer screens

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