Exempt markets

EMDs must fix regulatory deficiencies, says OSC Fallback Image Decorative pattern

Industry

EMDs must fix regulatory deficiencies, says OSC

The OSC has released findings of its targeted review of portfolio managers and exempt market dealers.

By Staff |May 31, 2013

2 min read

EMDA announces winners of 2013 awards Fallback Image Decorative pattern

Industry

EMDA announces winners of 2013 awards

The Exempt Market Dealers Association of Canada (EMDA) announced the winners of the 2013 EMDA Awards. The awards, created to recognize the exempt market deal of the year, will be presented today at the 2013 EMDA Exempt Market Conference in Toronto. Also read: IIROC updates Restricted Dealer Member Proposal “The winners are helping to finance […]

By Staff |May 2, 2013

1 min read

Rep fined, suspended over private placements Fallback Image Decorative pattern

Industry

Rep fined, suspended over private placements

A rep admitted to failing to use due diligence when recommending a private placement to his clients.

By Staff |April 23, 2013

2 min read

MFDA for stronger supervisory structure Fallback Image Decorative pattern

Industry

MFDA for stronger supervisory structure

The Mutual Fund Dealers Association of Canada (MFDA) has advised fund dealers to take more stringent supervisory measures to determine suitability of investments as they relate to seniors, sale of exempt securities, and use of leverage. Read: MFDA revises rep’s terms of settlement In a bulletin detailing its regulatory priorities, the SRO recommends dealers “assess […]

By Staff |April 3, 2013

1 min read