The Calgary-based National Exempt Market Association responds to an editorial in the September issue of Investment Executive
More study of these markets is needed before regulators tinker with the rules, report argues
New business to serve Canada’s exempt market
Many of the more serious compliance concerns involve exempt market dealers
Regulator denies appeal by Sterling Grace & Co., chief compliance officer
Editorial
More rules for the exempt market could hamper the industy without providing effective investor protection, critics say
BCSC releases report on Private Placement Review Program
Panel debates caps’ impact on suitability
Regulatory reforms, technological tools and market initiatives are changing the landscape of capital markets