Exempt market dealer software

What is exempt market dealer software?

Exempt market dealer software is the operating system behind how a Canadian EMD brings investors on board, distributes private placements, completes subscription packages, records compliance checkpoints, tracks funding, and keeps client documents and holdings accessible after close.

Unlike retail brokerage stacks or general sales CRMs, EMD software must reflect how exempt distributions actually work: accreditation and exemption analysis, dealing representative oversight, CCO review, multi-party signatures, raise tracking, and compensation for dealers and referral partners. Exempt Market Connect is built specifically for that lifecycle.

It is technology for registered exempt market dealers. Exempt Market Connect Inc. is not a registered dealer and does not provide investment advice. Dealers remain solely responsible for their regulatory and compliance obligations, including those associated with NI 31-103.

Problems it solves for growing EMDs

Many firms still stitch the exempt market together with shared drives, email threads, scanned PDFs, DocuSign links sent manually, and spreadsheets for raise status and commissions. That approach works until volume, staff turnover, or audit scrutiny exposes the gaps:

• Incomplete KYC packages — applications stall because no one sees which step is missing
• Unclear trade status — investors and operations ask “where is my subscription?” across inboxes
• Checklist drift — suitability, exemption, AML, and senior-investor checks live in different templates
• Commission reconciliation — referral and DR splits require manual reconstruction after close
• Brand fragmentation — investors bounce between third-party tools that do not look like your firm

Exempt Market Connect centralizes these steps so investors, dealing representatives, dealer admins, CCOs, referral agents, and issuers work from role-appropriate views of the same records.

Capability map

When evaluating exempt market dealer software, map vendor claims to concrete operational capabilities. Exempt Market Connect covers:

• White-label investor portal — branding and domain aligned to the dealer (investor portal)
• KYC/AML onboarding — individual, joint, and corporate wizards with ID, employment, financials, investing profile, PEP, schedules, accreditation, uploads, and DR/CCO approval (KYC & AML)
• Deal marketplace / builder — equity, debt, hybrid, fund, and revenue-share offerings with data rooms, waitlists, accredited-only controls, and CAD/USD
• Subscriptions & trades — suitability, compliance checklists, multi-party e-sign, and waitlist → reserved → paid → closed status (subscriptions)
• Payments — wire, EFT, cheque, registered, and FinConnect funding paths
• Commissions & referrals — DR shares, referral agents, partner statements
• Reporting & administration — commission, onboarding, and user reports; form builder; events; role administration (compliance tools)
• Portfolio & document vault — ongoing investor access to holdings and materials

For module-level detail, browse the full features hub.

End-to-end workflow

1. Invite or register the investor on the dealer’s branded portal.
2. Complete KYC through the guided application, including accreditation classification and document upload.
3. DR (and optionally CCO) review the application and complete electronic signatures.
4. Browse or receive offerings with terms, risk disclosures, and data-room materials.
5. Start a subscription — investor self-serve or DR-initiated — with suitability and checklist completion.
6. Route e-sign packages among investor, dealing representative, and CCO via DocuSign or DocuSeal.
7. Fund the trade using the selected payment method and track settlement to paid/closed.
8. Record commissions, update portfolio holdings, and retain documents in the vault.

That sequence is what “exempt market dealer software” should mean in practice: a continuous workflow, not a collection of disconnected tools.

Compared with email, PDF, and spreadsheet stacks

Email and PDF workflows optimize for familiarity, not control. Spreadsheets optimize for flexibility, not shared accountability. A dedicated EMD platform optimizes for:

• Progress visibility — onboarding and trade status without status meetings
• Role boundaries — investors, DRs, CCOs, admins, referral agents, and issuers see what they need
• Consistent forms — KYC, trade, and checklist templates configured through a form builder
• Signature routing — multi-party packages tied to the client and trade record
• Operational reporting — commissions, onboarding, and users without rebuilding pivots
• Investor experience — one branded portal from first login through portfolio access

Firms evaluating software should ask vendors to demonstrate each of those outcomes with their own sample deal flow — not a slide deck alone. You can also watch the presentation on the homepage.

Canadian EMD focus and NI 31-103 orientation

Exempt Market Connect is oriented to Canadian exempt market dealer operations: accreditation paths, dealing representative oversight, CCO review points, and documentation habits that support how EMDs work under a NI 31-103 framework.

Orientation is not a substitute for legal advice or firm policies. Your CCO and registered individuals remain responsible for knowing your clients, assessing suitability, supervising dealing activity, and meeting all applicable regulatory requirements. The software’s job is to make those workflows executable and reviewable.