This article needs attention from an expert in Finance & Investment. The specific problem is: needs good introductory style in lede..(July 2014) |
Securities regulation in Canada is conducted by the various provincial securities commissions and self-regulating organizations (“SRO”) such as the MFDA and IIROC. Securities are issued under the authority and oversight of these bodies with the result that a broad range of rules apply to companies seeking to raise capital and to the parties acting as their agents in such transactions. However, there is a useful simplification that can be applied in Canada to provide some clarity for issuers - based on the criteria below securities issuers fall into two broad categories:
A common question is what are the differences between RIs and NRIs and does either type of security have clear benefits over the other? [1] To answer the question investors must consider
Regardless whether investing in RIs or NRIs conducting diligence is important. When securities are being sold (capital is being raised) by an issuer, there are two main factors that come into play to assist with investor protection:
1) Disclosure requirements
2) Regulation of those that sell the securities
Some examples of Canadian non-reporting issuers:
This article needs attention from an expert in Finance & Investment. The specific problem is: needs good introductory style in lede..(July 2014) |
Securities regulation in Canada is conducted by the various provincial securities commissions and self-regulating organizations (“SRO”) such as the MFDA and IIROC. Securities are issued under the authority and oversight of these bodies with the result that a broad range of rules apply to companies seeking to raise capital and to the parties acting as their agents in such transactions. However, there is a useful simplification that can be applied in Canada to provide some clarity for issuers - based on the criteria below securities issuers fall into two broad categories:
A common question is what are the differences between RIs and NRIs and does either type of security have clear benefits over the other? [1] To answer the question investors must consider
Regardless whether investing in RIs or NRIs conducting diligence is important. When securities are being sold (capital is being raised) by an issuer, there are two main factors that come into play to assist with investor protection:
1) Disclosure requirements
2) Regulation of those that sell the securities
Some examples of Canadian non-reporting issuers: