Exempt markets

Industry

Exempt market issuance soared in 2021: OSC

Total issuance almost doubled from 2019, led by institutional investors

By James Langton |December 7, 2022

1 min read

Industry

OSC tests out education, experience exemption

The pilot program expands accredited investor exemptions beyond financial metrics

By James Langton |October 25, 2022

2 min read

Industry

BCSC settles with trio over fund valuation failures

Regulatory settlement includes prohibitions and monetary sanctions

By James Langton |March 7, 2022

2 min read

Industry

BFI funds’ auditor resigns

PwC says KPMG stepped down as funds' auditor earlier this month

By James Langton |October 28, 2021

2 min read

Industry

Court rejects law firm’s request to represent retail investors in Bridging Finance case

A judge has given PwC 60 days to sort out funds' finances before appointing lawyers to represent investors

By James Langton |June 23, 2021

3 min read

Industry

Exempt market sees surge in individual investor activity: OSC

The volume and value of exempt financings was steady in 2019, while investor participation rose

By James Langton |December 10, 2020

2 min read

Industry

IIROC fines Toronto brokerage $100,000 for suitability failures

The firm didn't question the concentration in a high risk, exempt market product, the agreement said

By James Langton |January 23, 2020

1 min read

Industry

Alberta regulators seek to boost venture markets

ASC hopes to kickstart market activity following decline in energy sector

By Staff |June 27, 2019

1 min read

Industry

Associations for private and exempt markets merge

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 […]

By Staff |February 12, 2018

1 min read

Industry

OSC proposes new rules for raising capital outside Ontario

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 […]

By Staff |June 29, 2017

1 min read

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