Canadian Corporate & Securities Lawyer
Good News for Exempt Market Dealers Participating As Selling Group Members in Prospectus Offerings By Brian Koscak and Peter Dunne Back in December 2013, it looked like the Canadian Securities Administrators (CSA) might slam the door on exempt market dealers participating in prospectus offerings. However, recent changes suggest the door is still open. This article […]
The Ontario Securities Commission (the OSC) recently announced that it has commenced a pre-registration review process for new registrant firms, including exempt market dealers (EMDs), in order to assess compliance with Ontario securities law at the time of registration. Why is the OSC doing this? The OSC wants to ensure firm applicants, such as EMDs, [...]Disclaimer This blog is not intended to create, and does not create an attorney-client relationship. You should not act or rely on information on this blog post without first seeking the advice of a lawyer. This material is intended for general information purposes only and does not constitute legal advice. For legal issues that arise, […]
Effective May 1, 2014, all new registered dealers and advisors across Canada, except in Quebec, must take reasonable steps to ensure that the Ombudsman for Banking Services and Investments (OBSI) will be the independent dispute resolution or mediation service that is made available to a client that has an eligible complaint. For more information about OBSI […]
