Exempt market – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 30 Oct 2024 21:28:26 +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 Exempt market – Investment Executive https://www.investmentexecutive.com 32 32 Ontario promises MGA licensing https://www.investmentexecutive.com/news/from-the-regulators/ontario-promises-mga-licensing/ Wed, 30 Oct 2024 21:28:26 +0000 https://www.investmentexecutive.com/?p=495771 OSC asked to review OM exemption, beneficial ownership registry being examined

The post Ontario promises MGA licensing appeared first on Investment Executive.

]]> OSC’s compliance work escalates https://www.investmentexecutive.com/news/from-the-regulators/oscs-compliance-work-escalates/ Fri, 26 Jul 2024 19:36:15 +0000 https://www.investmentexecutive.com/?p=490069 Risky firms, crypto platforms add to compliance division's workload

The post OSC’s compliance work escalates appeared first on Investment Executive.

]]> Fewer prospectuses key to FCA reform proposals https://www.investmentexecutive.com/news/from-the-regulators/fewer-prospectuses-key-to-fca-reform-proposals/ Fri, 26 Jul 2024 16:58:34 +0000 https://www.investmentexecutive.com/?p=490025 Proposals seek to ease capital raising, bring back research bundling

The post Fewer prospectuses key to FCA reform proposals appeared first on Investment Executive.

]]> BCSC hands out first sanction under new enforcement tool https://www.investmentexecutive.com/news/from-the-regulators/bcsc-hands-out-first-sanction-under-new-enforcement-tool/ Mon, 08 Jul 2024 19:47:28 +0000 https://www.investmentexecutive.com/?p=488977 Firm fined $12,000 for violations involving insurance requirements

The post BCSC hands out first sanction under new enforcement tool appeared first on Investment Executive.

]]> B.C. court certifies ‘sham’ consultant class action https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-certifies-sham-consultant-class-action/ Thu, 04 Jul 2024 20:52:40 +0000 https://www.investmentexecutive.com/?p=488847 BCSC previously sanctioned participants in private placement scheme

The post B.C. court certifies ‘sham’ consultant class action appeared first on Investment Executive.

]]> BCSC, fund manager settle compliance issue case https://www.investmentexecutive.com/news/from-the-regulators/bcsc-fund-manager-settle-compliance-issue-case/ Tue, 02 Jul 2024 20:23:15 +0000 https://www.investmentexecutive.com/?p=488675 Firm resolved allegations of KYC, suitability, conflict failures

The post BCSC, fund manager settle compliance issue case appeared first on Investment Executive.

]]> EMDs allowed to play in prospectus deals https://www.investmentexecutive.com/news/from-the-regulators/emds-allowed-to-play-in-prospectus-deals/ Thu, 20 Jun 2024 16:51:25 +0000 https://www.investmentexecutive.com/?p=488116 Regulators adopt temporary measure to expand capital raising options

The post EMDs allowed to play in prospectus deals appeared first on Investment Executive.

]]> Capital raising shifts further to exempt market in Quebec https://www.investmentexecutive.com/news/from-the-regulators/capital-raising-shifts-further-to-exempt-market-in-quebec/ Thu, 09 May 2024 20:49:35 +0000 https://www.investmentexecutive.com/?p=485627 Prospectus filings decline, exempt offerings up in 2023, AMF reports

The post Capital raising shifts further to exempt market in Quebec appeared first on Investment Executive.

]]> OSC tests new early-stage exemptions https://www.investmentexecutive.com/news/from-the-regulators/osc-tests-new-early-stage-exemptions/ Thu, 09 May 2024 17:09:16 +0000 https://www.investmentexecutive.com/?p=485603 Regulator adopts new exemptions designed to help startups raise capital

The post OSC tests new early-stage exemptions appeared first on Investment Executive.

]]> 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.

]]>