Exempt market | Investment Executive https://www.investmentexecutive.com/tag/exempt-market/ Canada's news source for financial professionals Wed, 10 Dec 2025 17:50:45 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Exempt market | Investment Executive https://www.investmentexecutive.com/tag/exempt-market/ 32 32 Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/from-the-regulators/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 Review documents failings in meeting KYC, KYP, suitability requirements

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]]> EMD exemption falls flat, CSA asks why https://www.investmentexecutive.com/news/emd-exemption-falls-flat-csa-asks-why/ Thu, 27 Nov 2025 19:52:35 +0000 https://www.investmentexecutive.com/?p=526475 Regulators seek feedback on initiative that sparked little activity

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]]> BCSC settles with pair over unregistered activity https://www.investmentexecutive.com/news/bcsc-settles-with-pair-over-unregistered-activity/ Wed, 22 Oct 2025 19:33:31 +0000 https://www.investmentexecutive.com/?p=523351 Efforts to raise capital for cannabis company amounted to illegal distribution

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]]> OSC denies EMD registration to crypto firm https://www.investmentexecutive.com/news/from-the-regulators/osc-denies-emd-registration-to-crypto-firm/ Fri, 17 Oct 2025 05:32:20 +0000 https://www.investmentexecutive.com/?p=522833 Regulator rejects the idea of "bespoke" regulation for firms

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]]> That’s a wrap on fund manager’s receivership https://www.investmentexecutive.com/news/thats-a-wrap-on-fund-managers-receivership/ Thu, 09 Oct 2025 20:34:55 +0000 https://www.investmentexecutive.com/?p=522373 Receiver proposes final distribution to Stableview investors

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]]> Firms falling short on KYC, suitability: BCSC https://www.investmentexecutive.com/news/from-the-regulators/firms-falling-short-on-kyc-suitability-bcsc/ Wed, 01 Oct 2025 18:23:53 +0000 https://www.investmentexecutive.com/?p=521650 Regulator issues report card on Client Focused Reforms compliance

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]]> Regs propose harmonized expertise exemption https://www.investmentexecutive.com/news/from-the-regulators/regs-proposed-harmonized-expertise-exemption/ Thu, 25 Sep 2025 19:49:06 +0000 https://www.investmentexecutive.com/?p=521193 Self-certified exemption enables savvy investors to invest alongside accredited investors

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]]> FINTRAC fines exempt market dealer https://www.investmentexecutive.com/news/from-the-regulators/fintrac-fines-exempt-market-dealer/ Thu, 18 Sep 2025 16:32:16 +0000 https://www.investmentexecutive.com/?p=520588 Agency uncovered several compliance violations in exam

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]]> OSC extends venture exemptions https://www.investmentexecutive.com/news/from-the-regulators/osc-extends-venture-exemptions/ Thu, 14 Aug 2025 19:35:03 +0000 https://www.investmentexecutive.com/?p=517576 Angel investor, early-stage issuer relief extended to allow regulator to consider reforms

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]]> Former fund rep back in OSC’s crosshairs https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-back-in-oscs-crosshairs/ Mon, 11 Aug 2025 17:15:53 +0000 https://www.investmentexecutive.com/?p=517292 Rep banned back in 1998 is now facing fraud allegations

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