Investor onboarding

KYC, accreditation, and identity documentation in one application flow

Investors complete a guided application covering identification, employment, financials, investing profile, PEP disclosures, and supporting schedules. Dealers can configure forms by account type — individual, joint, or corporate — and keep every document attached to the client record.

Accredited, eligible, and non-eligible investor classification support
Government ID, proof of address, and corporate document uploads
DR review with optional CCO sign-off and reminder emails
Searchable KYC index and progress tracking across your book

Explore KYC & AML onboarding

Digital investor onboarding documents and tablet application — Guided KYC applications with documents kept on the client record

Deal marketplace

Publish private placements with the detail investors need to decide

Build and list equity, debt, hybrid, fund, and revenue-share offerings with terms, media, risk disclosures, documents, and raise tracking. Control whether a deal is public, private-listed, waitlisted, or limited to accredited investors.

Deal builder with photos, videos, custom sections, and data rooms
Min/max investment, unit pricing, CAD/USD, and raise progress
Risk, horizon, and objective fields that align with KYC profiles
Multi-dealer distribution and issuer/partner directories

See offering management features

Modern commercial architecture representing private placement offerings — List equity, debt, fund, and hybrid offerings with full deal detail

Subscriptions & closing

Suitability, checklists, e-sign, and funding in a guided trade workflow

Investors can self-serve an invest flow, or dealing representatives can create trades on their behalf. Each trade carries suitability questions, a compliance checklist, multi-party electronic signatures, and payment instructions through to paid and closed status.

Investor → DR → CCO signing routes via DocuSign or DocuSeal
Exemption, AML, and senior-investor checklist support
Wire, EFT, cheque, registered-fund, and online payment paths
Trade confirmations and settlement tracking

Read about subscription workflows

Abstract institutional artwork suggesting portfolio growth and closing workflows — Suitability, multi-party e-sign, funding, and closing in one path

Back office

Commission, referral, and reporting tools built for dealer operations

Track issuer-to-dealer fee splits, dealing representative shares, and referral agent compensation. Export commission, onboarding, and user reports, generate partner statements, and give compliance officers a clear view of pending applications and trades.

Commission groups and per-trade recipient configuration
Referral agent onboarding, links, and commission tracking
CCO dashboards for pending KYC and trade approvals
Document vaults, activity logs, and operational exports

Explore dealer & compliance tools

Dealer operations workspace with monitors for compliance and reporting — Commissions, referrals, CCO queues, and operational reporting

01

Invite & onboard

Create or invite investors. They verify email, choose individual, joint, or corporate accounts, and begin KYC.

02

Verify & approve

Collect ID, financials, accreditation, and disclosures. DRs review; CCOs can sign when your process requires it.

03

Present offerings

Investors browse your marketplace or receive DR-led trades against listed private placements.

04

Sign & fund

Complete suitability and checklists, route e-signatures, then fund by wire, EFT, registered plan, or online payment.

05

Service the book

Give investors portfolio and document access while your team runs commissions, statements, and reporting.

Investors

Complete applications, browse deals, invest, sign, fund, and monitor holdings and documents from a branded portal.

Dealing representatives

Manage clients, create trades, review KYC and suitability, track pipeline metrics, and coordinate referral introductions.

Chief compliance officers

Work pending applications and trades, approve or reject with reasons, oversee referral programs, and pull operational reports.

Dealer administrators

Configure branding, feature flags, forms, templates, users, instructional videos, and deal-building settings for the firm.

Want to see it configured for your dealer workflow?

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White-Label Hosting

Your brand. Your domain. Your investor relationship.

Exempt Market Connect is designed to be deployed as a branded portal for your firm. Present offerings and service clients under your company name, visual identity, and preferred domain — without asking investors to learn a third-party product brand.

Company name, logos, favicon, and colour system
Client URL on a domain of your choice
Branded transactional email and configurable instructional videos
Feature flags and role permissions tuned to your operating model

Learn about the investor portal

Branded dealer operations workspace for white-label portal administration — Configure branding, domain, forms, and approvals for your firm

NI 31-103 oriented workflows

Suitability questions, accreditation capture, checklists, and approval gates help dealing representatives and CCOs document registrant-style processes end to end.

Security hygiene that matches the job

Encrypted sensitive fields, authenticated sessions, document storage, and multi-party e-sign integrations protect investor and dealer records in transit and at rest.

Auditability by default

Applications, signatures, trade status changes, and supporting files stay attached to the client and trade record so your team can retrieve an evidence trail when needed.

Exempt market dealer software What EMD software should cover, and how Exempt Market Connect maps to dealer operations. Full feature overview Modules spanning investors, offerings, trades, payments, reporting, and administration. White-label investor portal Branded client access for opportunities, applications, documents, and portfolio views. KYC & AML onboarding Digital applications, accreditation, document review, and approval routing. Private placement subscriptions Suitability, e-sign packages, funding methods, and closing status. Dealer & compliance tools CCO dashboards, commissions, referrals, statements, and exports.

Exempt Market Connect

One system for the full exempt-market lifecycle