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
Registration allows access to bitcoin investments, while providing regulators with the means to monitor operations in this rapidly developing area
The agreement includes 22,500 self-directed accounts with assets under administration of $1.7 billion
A new paper examining the exempt-market regime in Canada suggests there’s likely a significant gap in investor protection because no SRO exists
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
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