Raintree Financial Solutions strikes strategic alliance with Pennant Capital Partners
Exempt Logic is designed to streamline work and increase transparency between dealers and issuers
Regulators getting pushback to their attempts to increase oversight of U.S.-based dealers in Canada having exempt-market registration
State securities regulators and investor advocates want the SEC to back away from plans to allow the mass marketing of exempt market offerings
Exempt market dealer failed to comply with securities laws and provided deficient financial filings
CFO program is the first of its kind in Canada for exempt market dealers
Committee to advise regulator’s staff on potential new prospectus exemptions
David Kaufman, president of exempt market dealer Westcourt Capital Corp., says regulators and dealers must work together to identify dealers who are not playing by the rules and support those who are. He spoke at the 2012 Exempt Market Dealers Association conference in Toronto.
Geoffrey Ritchie, executive director, Exempt Market Dealers Association, discusses what advisors need to know about exempt market products, and how regulators are taking a closer look at the growing sector. He spoke at the spoke at the 2012 EMDA conference in Toronto.
David Gilkes, vice chairman of the Exempt Market Dealers Association and president of North Star Compliance & Regulatory Solutions Inc., says that the OSC needs to publicly announce its new regulation strategy for exempt market dealers before contacting clients directly -- a move he views as potentially destructive to clients' relationships with dealers. Gilkes spoke at the 2012 EMDA conference in Toronto.