Commission continues work on developing four new possible exemptions, including crowdfunding
League Investments says it will work with BCSC to resolve allegations
Regulator alleges the owners of League Investment Services failed to disclose they are also trustees of the REIT
New website will teach investors and advisors about the retail exempt market
Non-compliance, fraud and weak oversight harming investors
CSA sets out recommendations to improve relationship disclosure practices
In a recent review, most exempt market dealers and portfolio managers were issued deficiency reports
Order suspends firm’s exempt market dealer registration and restricts its portfolio manager registration
Crowdfuning is one of the options being considered for start-ups and SMEs
Marsha Gerhart, counsel, Borden Ladner Gervais, gives tips on KYC, KYP and suitability for the exempt market. Gerhart drills down into the specific requirements for exempt market dealers and explains the interdependence of knowing your client, knowing the product -- and determining suitability. Gerhart spoke to Paula Virany, multimedia editor and video producer for Investment Executive, at the 2013 EMDA Exempt Market Dealers conference in Toronto.