Monthly Archives: September 2016

CSA Proposals to Enhance Firms’ and Advisors’ Obligations Towards Clients (IIAC Blog)

CSA Proposals to Enhance Firms’ and Advisors’ Obligations Towards Clients (IIAC Blog)

The IIAC filed a submission with the Canadian Securities Administrators (CSA) in response to its Consultation Paper 33-404: Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients.

The IIAC has carefully examined the Consultation Paper, identifying some areas of constructive reform, while questioning the merit of some proposals.

Please click here to view our news release. You can access our full submission here.

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The ‘Top of House’ Issues Facing the City of London and Implications for Financial Services (IIAC Blog)

The ‘Top of House’ Issues Facing the City of London and Implications for Financial Services (IIAC Blog)

Now that the UK has voted to leave the EU, what will happen next? When the UK government starts to negotiate the withdrawal process, two key issue will need to be taken in consideration. The first, and most essential, will be the terms of the UK’s exit from the EU. The second will be the negotiation of a new relationship between the UK and the EU.

My recent trip to London and meetings with key officials provided the opportunity to better understand the underlying themes and implications of Brexit for the UK, the City of London … Continue reading

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Facilitating Access to Equity Capital for SMEs (IIAC Blog)

Facilitating Access to Equity Capital for SMEs (IIAC Blog)

In the last three years, the estimated dollar value of financing in public and private markets for listed small businesses has fallen by half, to just over $1 billion a year. Equity financing for private small companies through the venture capital markets has increased steadily in this recent three-year period but is still averaging just over $2 billion a year. The domestic venture capital funds are an important, albeit relatively modest, source of equity capital for small business, reaching overall annual funding of about $1 billion a year, slightly less than U.S. venture capital investments in … Continue reading

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