Exempt market – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 08 Apr 2024 21:26:46 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Exempt market – Investment Executive https://www.investmentexecutive.com 32 32 Rep incorporation proposals prove to be sticky wicket https://www.investmentexecutive.com/news/from-the-regulators/rep-incorporation-proposals-prove-to-be-sticky-wicket/ Mon, 08 Apr 2024 21:26:46 +0000 https://www.investmentexecutive.com/?p=483358 Industry divided on, investor advocates opposed to, reforms

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]]> Court rejects OSC’s crypto fraud allegations https://www.investmentexecutive.com/news/from-the-regulators/court-rejects-oscs-crypto-fraud-allegations/ Tue, 02 Apr 2024 18:22:04 +0000 https://www.investmentexecutive.com/?p=483028 Regulator failed to meet burden of proof on all counts

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]]> Ontario budget voices support for OBSI reform https://www.investmentexecutive.com/news/from-the-regulators/ontario-budget-voices-support-for-obsi-reform/ Tue, 26 Mar 2024 20:03:44 +0000 https://www.investmentexecutive.com/?p=482762 Government endorses OSC's investor protection, capital formation efforts

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]]> Regulators keep savvy-investor exemption https://www.investmentexecutive.com/news/from-the-regulators/regulators-keep-savvy-investor-exemption/ Fri, 22 Mar 2024 20:29:19 +0000 https://www.investmentexecutive.com/?p=482618 After pilot program, ASC, FCAA maintain exemption based on financial knowledge

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]]> ASC dismisses enforcement allegations https://www.investmentexecutive.com/news/from-the-regulators/asc-dismisses-enforcement-allegations/ Fri, 08 Mar 2024 19:29:09 +0000 https://www.investmentexecutive.com/?p=481907 Regulator withdrew certain allegations, and a hearing panel rejected others

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]]> Consultant sanctioned in private placement scheme https://www.investmentexecutive.com/news/from-the-regulators/consultant-sanctioned-in-private-placement-scheme/ Thu, 22 Feb 2024 20:47:51 +0000 https://www.investmentexecutive.com/?p=480932 Bulk of funds issuers raised went to consultants that quickly dumped shares

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]]> BCSC sanctions company, exec for misleading investors https://www.investmentexecutive.com/news/from-the-regulators/bcsc-sanctions-company-exec-for-misleading-investors/ Tue, 24 Oct 2023 20:47:11 +0000 https://www.investmentexecutive.com/?p=473915 Former executive fined, banned for seven years due to misconduct

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]]> With complaints soaring, OBSI fees set to climb https://www.investmentexecutive.com/news/from-the-regulators/with-complaints-soaring-obsi-fees-set-to-climb/ Fri, 13 Oct 2023 18:53:36 +0000 https://www.investmentexecutive.com/?p=473356 Banks to bear the brunt of fee increase, as case volumes jump

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]]> Most firms falling short in conflict compliance https://www.investmentexecutive.com/news/from-the-regulators/most-firms-falling-short-in-conflict-compliance/ Thu, 03 Aug 2023 18:22:05 +0000 https://www.investmentexecutive.com/?p=469678 Regulators found firms are failing to identify and manage conflicts in clients' best interests

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]]> CIRO fines firm for retail compliance violations https://www.investmentexecutive.com/news/from-the-regulators/ciro-fines-firm-for-retail-compliance-violations/ Mon, 24 Jul 2023 19:47:55 +0000 https://www.investmentexecutive.com/?p=469145 Firm admitted to serving retail investors before SRO approvals, systems in place

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