News and Publications - Exempt Market Dealers Association of Canada

News and Publications

Many publications of the EMDA are only available to Members. EMDA publications provide valuable business, compliance and regulatory advice to Members and help them stay up to date with changes in regulation and developments in the exempt market industry.

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Here are some of our publications that are publicly available.

EMDA Publications
September-06-11 (0 Comments - view/add) EMDA raises concerns about treatment of EMDs under new securitization rules » The EMDA has voiced concerns regarding the CSA's proposed restrictions on EMDs participating in the securitization markets across Canada. The EMDA's comments and analysis was delivered in a formal submission...
August-22-11 (0 Comments - view/add) EMDA proposes Provincial and Regional Advisory Councils » The EMDA wants your input on our proposed Regional and Provincial Advisory Councils! EMDA members across Canada will soon have the opportunity to participate at...
July-28-11 (0 Comments - view/add) EMDA reacts to regulatory bias against EMDs in proposed direct market access rules from the CSA » The EMDA has expressed serious concerns about the proposed exlcusion of EMDs under the new direct market access regime. The EMDA's comments and analysis was delivered in a...
January-03-11 (0 Comments - view/add) US Private Placements by EMDs? » Are you considering selling private placements to US residents? Accessing the US market involves a number of regulatory considerations for EMDs. Russ Raymer, a US attorney with Hodgson Russ...
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Regulatory Updates
February-03-12 (0 Comments - view/add) EMDA SURVEY - we need to hear from you! » The EMDA needs your views on the CSA's review of the Accredited Investor and Minimum Amount rules. Please take a few minutes to share your views...
November-16-11 (0 Comments - view/add) CSA reviewing "Accredited Investor" and "$150,000 Minimum Amount" exempt market client criteria » The CSA has released a Staff Consultation Note announcing a r eview of the Accredited Investor and $150,000 Minimum Amount exemptions under National Instrument 45-106 Prospectus and Registration...
October-24-11 (0 Comments - view/add) OSC seeks comments on Enforcement Initiatives » The OSC has released OSC Staff Notice 15-704 Request for Comments on Proposed Enforcement Initiatives which discusses four key issues: New program for explicit No-Enforcement Action...
September-26-11 (0 Comments - view/add) CSA expresses concern about brokerage activity and EMDs » The CSA has published a Staff Notice 31-327 discussing their concerns about the use of the EMD category for brokerage activites, in particular registration applications...
September-26-11 (0 Comments - view/add) 2011 OSC Report on Dealers, Adviser and Investment Fund Managers » The OSC has released its 2011 Annual Summary Report for Dealers, Advisors and Investment Fund Managers . The report includes information on the registration regime, misconduct by firms...
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EMDA News
February-13-12 EMDA Seminars and Town Hall Meetings: Vancouver, Calgary and Halifax » Review of Accredited Investors and Minimum Amount Exemptions The CSA has released a Staff Consultation Note announcing a review of the Accredited Investor and $150,000...
February-09-12 EMDA celebrates International Women's Day! » The Exempt Market Dealers Association of Canada is reaching out to female business owners and invites you to celebrate the International Women’s Day! Join us...
February-02-12 Strategy Institute Event: Registrant Regulation Conduct and Compliance Summit » Members of the Exempt Market Dealers Association of Canada (EMDA) will receive a 20% discount on registration fees for the Registration Regulation Conduct and Compliance...
November-15-11 (0 Comments - view/add) EMDA in Investment Executive article on the exempt market » The EMDA was quoted extensively by Investment Executive in a Nov 14, 2011 article about the future of the exempt market. EMDA Chairman Brian Koscak and Executive Director Geoffrey...
September-26-11 (0 Comments - view/add) Tips and Traps of starting a Portfolio Managment or Dealer Firm » Vipool Desai of ara Compliance Support , and a Director of the EMDA, has provided some thoughts and guidance for people starting up a Dealer or...
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