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Keyword: Exempt market

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Computershare to acquire exempt market business of Canadian Western Trust

The agreement includes 22,500 self-directed accounts with assets under administration of $1.7 billion

  • By: IE Staff
  • August 16, 2017 December 19, 2017
  • 11:00

A new paper examining the exempt-market regime in Canada suggests there’s likely a significant gap in investor protection because no SRO exists

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