Hi, does anyone know who regulates the midmarket investment banks in Canada? I cant find anything relevant, and dont see anything listed on any of the midmarket advisors. So if I want to open an advisory in Canada advising only private companies, do I need to register?
I saw IIROC, but doesnt look like that applies to private (only public). https://www.iiroc.ca/investors/dealers-we-regulat…;
IIROC is the national self-regulatory organisation which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.
Bump - anyone?
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