Key statistics about the offering memorandum exemption from the Alberta Securities Commission.

The Portals – What Is Happening In Canada

The Private Capital Markets Association of Canada held its 2014 Annual Conference at the Board of Trade in Toronto, Ontario.

Proposed Amendments To The Offering Memorandum Exemption & Proposed Equity Crowdfunding Rules – Group Discussion Forum

2014 Annual Canadian Equity Conference Calgary/Vancouver presentation.

Equity Crowdfunding Panel Discussion With Ontario Securities Commissioner Vice-Chair James E.A. Turner

CFA Society Toronto – So Who Needs A Prospectus Anyway? – Shifting Landscape Of The Private Capital Markets

The Canadian Securities Administrators proposed rules which would allow investors in large parts of the country to participate in equity crowdfunding.

Most new registered dealers and advisors across Canada must ensure that the OBSI will be the independent dispute resolution or mediation service available.

This is a follow-up to a recently posted blog on January 30, 2014 titled, "Changes Proposed for Exempt Offerings of Short-Term Debt and Securitized Products in Canada."

December has just arrived and the year is almost over. Many capital market participants are waiting for the Ontario Securities Commission (the OSC) to publish a draft of the proposed prospectus exemptions it is considering as previously published on August 28, 2013 (See OSC Notice 45-712 Progress Report on Review of Prospectus Exemptions to Facilitate Capital Raising).

Andrea Seidt, the President of NASAA, gave the keynote speech at the Securities Industry and Financial Markets Association Conference in Florida.

The Canadian Securities Administrators (the CSA) have published proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions And Ongoing Registrant Obligations (NI 31-103) on December 5, 2013 (the Proposed NI 31-103 Amendments), which included, among other things, a new short-term debt registration exemption under s. 8.22.1 of NI 31-103 (the Proposed registration exemption).

The Canadian Securities Administrators has recently proposed various amendments to National Instrument 31-103 "Registration Requirements, Exemptions and Ongoing Registrant Obligations".

In Canada, an issuer does not have to provide an investor with a prospectus if an investor purchases, as principal, a security of a single issuer and pays $150,000.

I attended and spoke at a full-day conference held by the Equity Crowdfunding Alliance of Canada in Vancouver, British Columbia.

"Well it’s about time!" That’s what Greg Pollock, the President and CEO of Advocis, The Financial Advisors Association of Canada, says about a proposed new bill to regulate financial advisors in Ontario.

As Chair of the Private Capital Markets Association of Canada, I am pleased to have contributed to the PCMA’s comment letter to the Canadian Securities Administrators.

By Brian Koscak and Michael Brown – Effective as of October 31, 2014, securities legislation in each of Ontario, Québec and Manitoba came into force that requires "local counterparties" which engage in derivative transactions to report certain derivatives transaction data to a designated trade repository.

On January 9, 2014, the Canadian Securities Administrators (CSA) published CSA Staff Notice 31-336 that provides industry guidance on, among other things, when exempt market dealers (EMDs) need to update their ‘know-your-client’ (KYC) information.