Private placements – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 07 Nov 2024 20:00:28 +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 Case against Cormark was regulatory overreach: Tribunal https://www.investmentexecutive.com/news/from-the-regulators/case-against-cormark-was-regulatory-overreach-tribunal/ Thu, 07 Nov 2024 19:36:46 +0000 https://www.investmentexecutive.com/?p=496258 OSC failed to prove any of its allegations against dealer, investment banker

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]]> Pre-IPO schemes in U.S. authorities’ crosshairs https://www.investmentexecutive.com/news/from-the-regulators/pre-ipo-schemes-in-u-s-authorities-crosshairs/ Thu, 12 Sep 2024 21:52:51 +0000 https://www.investmentexecutive.com/?p=492658 Unregistered investment funds are allegedly costing investors millions

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]]> FINRA sees deepening connections to crypto https://www.investmentexecutive.com/news/from-the-regulators/finra-sees-deepening-connections-to-crypto/ Tue, 13 Aug 2024 19:41:28 +0000 https://www.investmentexecutive.com/?p=491017 Much of the industry's involvement may be outside the SRO's perimeter

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]]> 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

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]]> Advisers didn’t disclose work with short-sellers: SEC https://www.investmentexecutive.com/news/from-the-regulators/advisers-didnt-disclose-work-with-short-sellers-sec/ Fri, 14 Jun 2024 17:53:52 +0000 https://www.investmentexecutive.com/?p=487784 Fund's strategy included working with publishers of bearish articles

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]]> 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

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]]> 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

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]]> 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

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]]> 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

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]]> 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

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