SMEC members will be expected to provide input the impact of possible new prospectus exemptions that are being considered by the OSC
Investor alert against Sterling Grace rescinded
The regulator’s goal is to enhance overall compliance at firms that don’t belong to a self-regulatory organization
Current regulations assume that an investor’s wealth is a proxy for sophistication. This has to change
Investor advocacy group questions the wisdom of creating new exemptions targeting retail investors
Ontario regulator supports CSA proposal for an existing shareholder exemption
Reviews of three firms raised “significant concerns”, regulator says
Exemption would give venture firms easier access to capital, and investors a cheaper way to acquire additional securities
These reports are the regulator’s primary source of information about exempt market activity
League Investment Services has filed for creditor protection in B.C.