Private placements – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 03 May 2024 21:48:43 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Private placements – Investment Executive https://www.investmentexecutive.com 32 32 OSC to increase focus on DIY investors https://www.investmentexecutive.com/news/from-the-regulators/osc-to-increase-focus-on-diy-investors/ Fri, 03 May 2024 21:04:50 +0000 https://www.investmentexecutive.com/?p=485207 The regulator also wants to toughen enforcement and see better advice given at banks

The post OSC to increase focus on DIY investors appeared first on Investment Executive.

]]> Misleading disclosure wasn’t material, BCSC panel finds https://www.investmentexecutive.com/news/from-the-regulators/misleading-disclosure-wasnt-material-bcsc-panel-finds/ Thu, 02 May 2024 21:26:13 +0000 https://www.investmentexecutive.com/?p=485144 Misrepresentation allegations against pharma company and CEO dismissed

The post Misleading disclosure wasn’t material, BCSC panel finds appeared first on Investment Executive.

]]> Regulators keep savvy-investor exemption https://www.investmentexecutive.com/news/from-the-regulators/regulators-keep-savvy-investor-exemption/ Fri, 22 Mar 2024 20:29:19 +0000 https://www.investmentexecutive.com/?p=482618 After pilot program, ASC, FCAA maintain exemption based on financial knowledge

The post Regulators keep savvy-investor exemption appeared first on Investment Executive.

]]> BCSC sanctions second man in consulting sham https://www.investmentexecutive.com/news/from-the-regulators/bcsc-sanctions-second-man-in-consulting-sham/ Mon, 04 Mar 2024 22:12:51 +0000 https://www.investmentexecutive.com/?p=481512 Abusive scheme exploited consultant exemption, regulator alleged

The post BCSC sanctions second man in consulting sham appeared first on Investment Executive.

]]> Investors misled on NFT deal, OSC alleges https://www.investmentexecutive.com/news/from-the-regulators/investors-misled-on-nft-deal-osc-alleges/ Fri, 01 Mar 2024 21:49:48 +0000 https://www.investmentexecutive.com/?p=481406 Regulators say company issued misleading news ahead of private placements

The post Investors misled on NFT deal, OSC alleges appeared first on Investment Executive.

]]> Consultant sanctioned in private placement scheme https://www.investmentexecutive.com/news/from-the-regulators/consultant-sanctioned-in-private-placement-scheme/ Thu, 22 Feb 2024 20:47:51 +0000 https://www.investmentexecutive.com/?p=480932 Bulk of funds issuers raised went to consultants that quickly dumped shares

The post Consultant sanctioned in private placement scheme appeared first on Investment Executive.

]]> Paris-based private investment firm opens Montreal office https://www.investmentexecutive.com/news/industry-news/paris-based-private-investment-firm-opens-montreal-office/ Thu, 19 Oct 2023 20:32:52 +0000 https://www.investmentexecutive.com/?p=473702 Ardian has US$9 billion in AUM in Canada

The post Paris-based private investment firm opens Montreal office appeared first on Investment Executive.

]]> BCSC settles with participants in consultant scheme https://www.investmentexecutive.com/news/from-the-regulators/bcsc-settles-with-participants-in-consultant-scheme/ Tue, 26 Sep 2023 19:12:01 +0000 https://www.investmentexecutive.com/?p=472216 Firm admitted insider trading, abusive market conduct

The post BCSC settles with participants in consultant scheme appeared first on Investment Executive.

]]> U.S. brokers need work on best interest compliance https://www.investmentexecutive.com/news/from-the-regulators/u-s-brokers-need-work-on-best-interest-compliance/ Tue, 05 Sep 2023 21:15:48 +0000 https://www.investmentexecutive.com/?p=471055 Firms make token effort to raise standards, cling to suitability, NASAA finds

The post U.S. brokers need work on best interest compliance appeared first on Investment Executive.

]]> CIRO fines firm for retail compliance violations https://www.investmentexecutive.com/news/from-the-regulators/ciro-fines-firm-for-retail-compliance-violations/ Mon, 24 Jul 2023 19:47:55 +0000 https://www.investmentexecutive.com/?p=469145 Firm admitted to serving retail investors before SRO approvals, systems in place

The post CIRO fines firm for retail compliance violations appeared first on Investment Executive.

]]>