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What Silicon Valley is to venture capital, Canada — especially Western Canada — is to junior public equity markets. Historically, it was predominantly companies in the mining and energy sectors that took advantage of these markets. Increasingly, our junior public equity markets serve a much broader base of sectors. Public equity markets aren’t reserved for institutional investors, high-net worth individuals and those closely connected to companies raising capital. They are open to everyone. In fact, using “newer” prospectus exemptions, like…
With IIROC Notice 19–0051 dated March 26, 2019, the Investment Industry Regulatory Organization of Canada (IIROC) has clarified that investment dealers can use and accept electronic signatures. Clients of investment dealers can now take full advantage of Capiche’s streamlined private placement subscription process. IIROC expects firms to have appropriate policies and procedures in place to meet signature requirements. We drafted the below that you are free to incorporate into your firm’s policies and procedures…
Deals without ordeal — Issuers and investors both benefit as Capiche revamps private placements Article written by Greg Klein and published on May 29, 2018 in Resource Clips Among other things, the author writes: “Solidly rooted in resources, the two talents complemented each other as they combined a detailed knowledge of private placements, extensive experience with the flawed process and high-tech insights on how to fix it.”…
Capiche — A New Platform for Financings This article was originally written by Gwen Preston and published in the April 4, 2018 Edition of The Maven Letter (www.resourcemaven.ca). It is reprinted by Capiche with permission. A short note on a new business that I learned about recently — and that I think should become the standard new platform for financings. Today when a public company needs to raise money, its first stops are with key investors, investment…
Shareholder Participation in Private Placements People purchasing public companies’ shares in private placements typically receive discounts and often get warrant “sweeteners” thrown in. Unfortunately for average investors, participation in private placements is usually restricted to institutions, wealthy individuals and insiders. Retail investors are left to purchase shares in the secondary market even though securities legislation now allows existing shareholders to participate in private placements by Canadian public companies. In Canada, unless an exemption is available,…
Capiche Capital streamlines private placement process This article was originally written by Ellsworth Dickson and published in the April-May 2018 Edition (Vol 16 Issue 3) of Resource World Magazine (resourceworld.com). It is reprinted by Capiche with permission. Participating in a private placement can be a frustrating experience for an investor — but also a lucrative one. It’s frustrating for not just small retail investors but all investors. In fact, to date, small retail shareholders have…
Introducing Capiche Despite the complexity of securities laws and stock exchange policies, private placements continue to be completed using a manual, paper-based process. The process is inefficient and costly and private placements are often non-compliant — even when a lawyer is involved. As part of an in-depth assessment of the private placement market, the British Columbia Securities Commission concluded that: “companies have a poor understanding of the [prospectus] exemptions, do not keep adequate records of their private…