2013 compliance review uncovered “significant deficiencies
Protecting the public from OMs’ misuse isn’t just important for the sake of investors; it’s also necessary to help small businesses gain sustainable access to capital
ASC staff were seeking to suspend the registration of Rosehall Exempt Market Solutions
EFD designed to improve the efficiency of the regulatory filing process for certain exempt securities offerings
Regulator promises to act early next year on other proposed exemptions
The Calgary-based National Exempt Market Association responds to an editorial in the September issue of Investment Executive
More study of these markets is needed before regulators tinker with the rules, report argues
New business to serve Canada’s exempt market
Many of the more serious compliance concerns involve exempt market dealers
Regulator denies appeal by Sterling Grace & Co., chief compliance officer