Enforcement Issues Associated with Prospectus Exemptions in Canada
This paper examines the regime of prospectus exemptions in Canada. The focus is on the enforcement process, and to this end the article includes an empirical examination of enforcement actions by both the securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC). Th...
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| Format: | Article |
| Language: | English |
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University of Calgary
2017-08-01
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| Series: | The School of Public Policy Publications |
| Online Access: | https://www.policyschool.ca/wp-content/uploads/2017/08/Prospectus-Exemptions-MacIntosh_Final.pdf |