Exempt markets

Managed accounts, marketing in OSC crosshairs

Managed accounts, marketing in OSC crosshairs

Regulator details compliance priorities for year ahead

By James Langton |May 14, 2026

2 min read

Big banks take heat at Senate hearing

Big banks take heat at Senate hearing

Regulators lament shrinking shelves, eroding support for junior issuers

By James Langton |March 27, 2026

3 min read

Latest OBSI review kicks off

Latest OBSI review kicks off

New evaluation comes amid regulators' ongoing reform work

By James Langton |March 2, 2026

2 min read

EMD exemption falls flat, CSA asks why

EMD exemption falls flat, CSA asks why

Regulators seek feedback on initiative that sparked little activity

By James Langton |November 27, 2025

1 min read

BCSC settles with pair over unregistered activity

BCSC settles with pair over unregistered activity

Efforts to raise capital for cannabis company amounted to illegal distribution

By James Langton |October 22, 2025

1 min read

That’s a wrap on fund manager’s receivership

That’s a wrap on fund manager’s receivership

Receiver proposes final distribution to Stableview investors

By James Langton |October 9, 2025

2 min read

Decorative pattern

CIRO fines firm for retail compliance violations

Firm admitted to serving retail investors before SRO approvals, systems in place

By James Langton |July 24, 2023

2 min read

Decorative pattern

BCSC sanctions company over illegal distribution

Company sold shares to a vulnerable investor without a prospectus or exemption

By James Langton |March 9, 2023

2 min read

Decorative pattern

Tribunal sanctions trio in “moderately serious” fraud

Misconduct occurred as part of a legitimate business, not a scam, panel found

By James Langton |January 12, 2023

2 min read

Decorative pattern

CSA steps up OM exemption’s disclosure demands

Regulators enhance requirements on real estate issuers, collective investment vehicles

By James Langton |December 8, 2022

2 min read

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