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Keyword: Exempt market

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OSFI proposes revisions to capital rules for life insurers

The rule amendments address risks that may arise when firms not regulated by IIROC or the MFDA are involved in the custody of client assets

Applications are due by June 30

VC investments in Canada experience great growth in 2016

A new report from the OSC finds that exempt-market issuance rose by 9% to a total of $72 billion in 2016 following a 40% gain in 2015

The regulators’ proposals are intended primarily to address the concerns of foreign dealers and Canadian institutional investors

FSCO reports decrease in insurance advisors’ compliance rates

The results of the review of 65 small firms also provides additional guidance for these firms to meet their obligations

FSCO reports decrease in insurance advisors’ compliance rates

A compliance sweep the ASC carried out on 66 exempt-market dealers found deficiencies in every area the regulator examined

The firm consented to the suspension and is prohibited from providing advice and selling securities to investors

The firm’s advisors will now have the option to refer clients to third-party portfolio managers with whom the firm has long had relationships or to Raintree’s own discretionary platform

Financial Horizons acquires Estate Financial

The agreement helps Financial Horizons brokers gain access to more financial offerings while Pinnacle advisors will benefit from running their insurance business under one brand

Five of Canada’s provincial securities commissions issued a notice on Thursday warning that some issuers may be abusing shareholders in the way they’re structuring exempt-rights offerings. In particular, the regulators say in the notice that they have concerns with structures that are potentially abusive: “For example, we may have concerns where a rights offering is […]