The CSA has a project underway to create a single, integrated electronic filing system for exempt-market filings
Industry groups balk as regulators propose to step up their oversight on transactions in this unregulated arena
Advisors interested in the exempt-market space should educate themselves properly and pursue the appropriate licenses and qualifications, experts say
Several other provinces will revise their OM exemption with a focus on strengthening investor protector
The proposed exemption is designed to co-ordinate with crowdfunding blanket orders adopted by other provinces
Summaries of exempt distribution information will be posted on the commission’s website
The amendments aim to address concerns that issuers rarely use the prospectus-exempt rights offering to raise capital because of the time and cost involved
CSA hope more market data would bring better regulatory insight
The proposed report is intended to reduce the compliance burden for issuers and underwriters
DWM Securities advisors sold exempt funds to hundreds of clients who didn’t qualify for a prospectus exemption