Dealer compliance tools

Operations and oversight for exempt market dealers

Investor-facing portals only succeed when the back office can keep up. Dealing representatives need clear queues. CCOs need review checkpoints. Finance needs commission clarity. Admins need role control and form configuration that matches firm process.

Exempt Market Connect packages those dealer tools alongside the white-label investor portal, KYC onboarding, and subscription workflows — so oversight is not a separate spreadsheet universe.

CCO and dealing representative tools

Role-based access supports the people who actually move files:

• DealingRep — review client applications, initiate or support trades, complete signing steps, and stay close to investor progress
• CCO — provide compliance review and approval on applications and subscription packages where firm process requires it
• Dealer admin — manage users, configuration, and operational settings across the firm

Approval routing and reminder emails reduce the “waiting on someone” ambiguity that stalls KYC and trades. Workflows are oriented to Canadian EMD practice and NI 31-103-style responsibilities, while the dealer remains solely responsible for compliance outcomes.

Commissions and fee splits

Exempt market distribution often involves layered economics. Exempt Market Connect tracks compensation structures so closed activity can drive clearer commission outcomes:

• Issuer-to-dealer fee arrangements
• Dealing representative share tracking
• Visibility tied to subscription/trade status rather than after-the-fact reconstruction

Commission reporting helps finance and leadership answer what was earned in a period without rebuilding pivot tables from bank deposits and email confirmations. See also features → commissions.

Referral agents and partner statements

Many EMDs work with Referral Agents who introduce opportunities or investors under firm arrangements. The platform supports referral participation in the role model and related compensation tracking.

Partner statements give counterparties a consistent artifact for activity and compensation outcomes — reducing ad-hoc statement construction and supporting cleaner partner relationships over time.

Reports: commission, onboarding, and users

Structured exports matter when leadership, auditors, or operations ask basic questions. Exempt Market Connect provides reporting for:

• Commission reports — compensation linked to closed and related activity
• Onboarding reports — KYC/application progress across the book
• User reports — accounts and role participation

These reports complement in-app queues so CCOs and admins can work from the same source of truth as dealing representatives. Broader module context is in the features hub.

Audit-friendly records

“Audit trail” in practical EMD terms means being able to retrieve what was collected, who reviewed it, what was signed, and where a trade stood — without reconstructing history from personal inboxes.

Exempt Market Connect keeps applications, uploads, checklist completion, e-sign packages, payment status, and related documents associated with client and trade records. That structure supports internal reviews and supervisory practices. It does not certify regulatory outcomes, and it is not a substitute for the dealer’s policies, testing, or professional judgment.

Form builder for KYC, trades, and checklists

Every firm’s packet is a little different. The form builder lets dealers configure:

• KYC application forms by process needs and account type
• Trade forms used during subscriptions
• Compliance checklist forms used before signing and funding

Configurable forms are how software stays useful as policies evolve — without forcing a full custom development cycle for every wording change.

Administration, roles, and ecosystem participants

Beyond CCO and DR tools, administration covers the wider cast of exempt market participants:

• Investor
• DealingRep
• Dealer admin
• CCO
• ReferralAgent
• Issuer

Events and webinars, document vault access, and portfolio visibility remain available through the investor experience while admin and compliance roles supervise the operational layers. Category context for buyers evaluating platforms: exempt market dealer software.

Clear boundaries on compliance claims

Exempt Market Connect Inc. provides technology solutions to registered exempt market dealers. We are not a registered dealer and do not provide investment advice. Dealers remain solely responsible for their regulatory and compliance obligations. Software can structure workflows and records; it cannot assume the dealer’s duties under Canadian securities law or NI 31-103.