The firm didn't question the concentration in a high risk, exempt market product, the agreement said
ASC hopes to kickstart market activity following decline in energy sector
The Private Capital Markets Association of Canada (PCMA) and the National Exempt Market Association (NEMA) have merged, making a new entity that’s the largest private capital markets community in Canada. Traditionally, PCMA’s membership and activities were largely based in Eastern Canada, while NEMA’s were in Western Canada. PCMA, founded in 2002, acts as a national […]
The OSC is seeking comments on proposed new rules for issuers looking to raise capital outside of Ontario. On Thursday the Ontario securities regulator published revised OSC Rule 72-503 Distributions Outside Canada, and proposed Companion Policy 72-503 Distributions Outside Canada. “We have made certain revisions to the rule since its initial publication, including removing resale […]
The overall sweep revealed deficiencies in all areas tested
Cannabis and crowdfunding are coming together with the launch of an equity crowdfunding platform for marijuana businesses.
Securities regulators in five provinces have adopted a new exemption to provide retail investors with greater access to the exempt market.
Members of the CSA have announced that amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) and Multilateral Instrument 13-102 System Fees for SEDAR and NRD will come into force on May 24, 2016.
Scotia Capital has agreed to a $500,000 IIROC fine over the conduct of its subsidiary, DWM Securities, now known as HollisWealth.
CSA has published proposed amendments would require certain exempt market filings to be filed in electronic format on SEDAR.