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Keyword: Exempt market

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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

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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

High angle view of businesspeople shaking hands and closing a deal

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

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

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

First Block Capital granted bitcoin investment fund manager registration

Registration allows access to bitcoin investments, while providing regulators with the means to monitor operations in this rapidly developing area