Keyword: Exempt market

173 results found
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

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