Panel debates caps’ impact on suitability
Regulatory reforms, technological tools and market initiatives are changing the landscape of capital markets
Firms advised to prepare for more regulatory scrutiny
Regulators are venturing into uncharted territory
Exemptions intended to help firms raise capital, while protecting investors
Private Capital Markets Association of Canada name reflects membership and mandate
Regulators propose reforms to the accredited investor and minimum amount exemptions
SMEC members will be expected to provide input the impact of possible new prospectus exemptions that are being considered by the OSC
Investor alert against Sterling Grace rescinded
The regulator’s goal is to enhance overall compliance at firms that don’t belong to a self-regulatory organization