Keyword: Exempt market

177 results found
Office buildings in Toronto’s financial district

New revisions address complaints from institutional investors and foreign investment dealers

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

The case highlights the lack of governance requirements for mutual funds that distribute securities in the exempt market

PCMA/NEMA merger will streamline both groups’ operations

High angle view of businesspeople shaking hands and closing a deal

The unified organization ensures a stronger voice for private capital markets in Canada

  • By: Leah Golob
  • February 12, 2018 February 14, 2019
  • 12:25
mergers and acquisitions

The merger would ensure that the private capital and exempt markets have a unified industry voice

Exempt market dealer unable to fix compliance issues

Securities regulators extend mutual fund-only exemption

First Block Capital granted bitcoin investment fund manager registration

Registration allows access to bitcoin investments, while providing regulators with the means to monitor operations in this rapidly developing area

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