Brian Koscak Interviews PCMA Executive Director, Geoff Ritchie

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, […]

Securities Dispute Resolution – Sample Client Disclosure Letter for Exempt Market Dealers and Others

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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 […]

Proposed Experience Requirement for Chief Compliance Officers of Exempt Market Dealers – PCMA Canada’s Comment Letter

 The Canadian Securities Administrators (the CSA) have proposed certain amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and other rules (the Proposed Amendments) that includes, adding a new experience component to the proficiency requirement to be a chief compliance officer (CCO) of an exempt market dealer (EMD). Specifically, the […]

Exempt Market Dealers and Prospectus Offerings in Canada – PCMA Canada’s Comment Letter

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  On December 5, 2013, the Canadian Securities Administrators (the CSA) proposed certain changes to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and other rules, including a proposal to prohibit exempt market dealers (EMDs) from participating in prospectus offerings (the Proposed Amendments). I was privileged to Chair the Comment Committee […]