Posts Tagged ‘Canada’
When Does an Ontario Investment Fund Need an Exempt Market Dealer?
Many issuers assume they can raise capital without a registered dealer. In reality, Canadian securities laws often require an Exempt Market Dealer when a person or company is “in the business” of trading securities. This article explains when an EMD is required, the factors regulators consider, and how issuers and investment fund managers can structure exempt market offerings in compliance with National Instrument 31-103.
Read MoreExempt Market Dealers
Exempt market dealers (EMDs) play a key role in Canada’s private capital markets by facilitating securities distributions under prospectus exemptions. Learn what an exempt market dealer does, when an issuer may engage an EMD, and how EMD services support compliant capital raising for investment funds, private issuers, MICs and REITs.
Read MoreRegulation of ‘Finders’
Learn how Canadian securities laws apply to finders in the exempt market. This article explains what a finder is, when finder activities may raise dealer registration considerations, and how exempt market dealers (EMDs) support compliant capital raising under Canada’s prospectus exemption regime.
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