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.
EMDA calls on regulator to actively publicize new policy
The lack of harmonized rules across the country is a major source of frustration
Industry awards recognize exempt market business leaders in Canada
Regulator expects to move towards mandatory electronic filing in the future
The EMAC will inform OC staff on regulatory approaches to the capital raising segment of the exempt market
Regulator to consider whether new exemptions are needed
EMGateway aims to connect investors with exempt market issuers, dealers and reps