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ARTICLE · 09 DECEMBER 2014

Capital Markets Report - October 16-31, 2014

Cassels
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The Canadian Securities Administrators and the Ontario Securities Commission have announced proposed changes to the exempt market dealer registration requirements.

CanadaCorporate/Commercial Law
Alexandra Iliopoulos
Alexandra Iliopoulos
Gregory Hogan
Gregory Hogan
Jennifer Poirier
Jennifer Poirier
Alexis Bowie
Alexis Bowie
Anita Kim
Anita Kim
Joyce Lim
Joyce Lim
Jamie Litchen
Jamie Litchen
Joel McElravy
Joel McElravy
Jessica Lee
Jessica Lee
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FROM THE REGULATORS

Changes to Exempt Market Dealer Registration Requirements on the Horizon

By: Alexis Bowie, Anita Kim, Jamie Litchen and Joel McElravy

The Canadian Securities Administrators ("CSA") and the Ontario Securities Commission have announced proposed changes to the exempt market dealer ("EMD") registration requirements that are expected to make it tougher to register as an EMD.

The CSA has recently announced that, effective January 11, 2015, chief compliance officers for EMDs will now have to satisfy certain experience requirements before registration will be granted. In addition, Ontario is seeking to require that EMD applicants answer questions regarding their business models and policies and procedures manual, and provide their answers either in written form or by way of an in-person interview.

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