CSA sets out recommendations to improve relationship disclosure practices
In a recent review, most exempt market dealers and portfolio managers were issued deficiency reports
Order suspends firm’s exempt market dealer registration and restricts its portfolio manager registration
Crowdfuning is one of the options being considered for start-ups and SMEs
Marsha Gerhart, counsel, Borden Ladner Gervais, gives tips on KYC, KYP and suitability for the exempt market. Gerhart drills down into the specific requirements for exempt market dealers and explains the interdependence of knowing your client, knowing the product -- and determining suitability. Gerhart spoke to Paula Virany, multimedia editor and video producer for Investment Executive, at the 2013 EMDA Exempt Market Dealers conference in Toronto.
AEMIC to meet with ASC regularly to discuss concerns, issues, opportunities
Wetston says exempt market rules should allow for efficient capital raising, investor protection
Awards acknowledge Canadian exempt market business leaders
Proposal outlines what the OSC considers in determining what constitutes a prohibited blanket order
Investor advocacy group says proposed exemption will undermine investor protection and confidence in markets