Private Capital Market in Canada
Navigate the Private Capital Market with the best Exempt Market Dealers on your side.
We have the required experience and expertise to help you reach your financial goals.
Private Capital Market
The securities commissions/regulatory authorities in each province and territory regulates the public and private capital markets in Canada through legislation, regulations, rules, and national or multilateral instruments. They are responsible for the administration and enforcement of the laws, including the regulation of securities as products and regulation of securities dealers and advisers as market participants.
The different provincial/territorial regulators work together under the Canadian Securities Administrators (CSA) and have developed harmonized multilateral and national rules for the private capital market.
Key areas have been enacted, including:
- Disclosure and conduct of public companies
- Distribution of securities
- Registration and compliance obligations of dealers and advisors in the capital market
The regulators have developed harmonized multilateral and national rules
The Ideal EMD You Need
As of September 28, 2010, under NI 31-103, Exempt Market Dealers across Canada had to comply with securities regulations, including:
- Educational proficiency for its registered individuals and its chief compliance officer
- Minimum capital and excess working capital
- Annual audited financial statements
- Maintenance of proper books and records
- Compliance systems and internal control mechanisms
- Disclosure of referral arrangements
- Comprehensive policies and procedures manuals
- Trade confirmations and regular client statements
- Procedures for client complaint handling
- An independent dispute resolution service
- Holding client assets in trust and separate from the firm’s assets
- Maintaining adequate insurance coverage to protect the firm and its clients
Rules and regulations private capital market firms need to comply with
Use our services and we will:
- Help you reach your financial goals
- Advise you on Alternative Investments tailored for your needs
- Help you build your wealth responsibly
- Provide up-to-date transaction confirmations