Compliance reviews are increasingly leading to enforcement action
Although retail investors account for a tiny share of the capital raised, they represent 77% of the number of investors in the exempt market
New revisions address complaints from institutional investors and foreign investment dealers
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
The unified organization ensures a stronger voice for private capital markets in Canada
The merger would ensure that the private capital and exempt markets have a unified industry voice
Exempt market dealer unable to fix compliance issues
Securities regulators extend mutual fund-only exemption
Registration allows access to bitcoin investments, while providing regulators with the means to monitor operations in this rapidly developing area