Features

Investor onboarding, KYC, and AML

Exempt Market Connect replaces fragmented PDF packages and email threads with a structured KYC wizard. Investors apply as individual, joint, or corporate accounts and progress through identification, employment, financial circumstances, investing profile, politically exposed person (PEP) disclosures, schedules, and accreditation classification.

Accreditation support covers accredited, eligible, and non-eligible investor paths so dealers can capture the exemption basis that applies to each client. Document upload keeps government ID, proof of address, and corporate materials attached to the client record. Dealing representatives review applications; CCOs can provide additional sign-off. Electronic signatures via DocuSign or DocuSeal finalize the package, and reminder emails help close incomplete applications.

For a step-by-step walkthrough, see KYC & AML onboarding.

Deal marketplace and offering builder

Publish private placements with the detail investors need to evaluate an opportunity. The deal builder supports equity, debt, hybrid, fund, and revenue-share structures, with custom sections, media, risk disclosures, and data rooms.

• Raise tracking with min/max investment amounts and unit pricing
• CAD and USD currency support
• Waitlist and accredited-only listing controls
• Risk, horizon, and objective fields that align with KYC profiles
• Multi-dealer distribution and issuer/partner visibility where configured

Dealers control whether an offering is broadly listed, private-listed, waitlisted, or limited to accredited investors — so marketing reach stays aligned with how the firm wants each raise to run.

Subscriptions, suitability, and trade status

Investors can self-serve an invest flow, or dealing representatives can create trades on their behalf. Each subscription carries suitability questions, a compliance checklist (including exemption, AML, and senior-investor considerations), and multi-party electronic signature routing among investor, DR, and CCO participants.

Trade status progresses through a clear pipeline: waitlist → reserved → paid → closed. That visibility helps operations, compliance, and investors understand where a subscription sits without hunting through inboxes. Learn more on the private placement subscriptions page.

Payments and funding methods

Closing capital is as operational as collecting signatures. Exempt Market Connect supports funding paths for wire, EFT, cheque, registered accounts, and FinConnect, with payment instructions and settlement tracking tied to the trade record.

When funds are confirmed, dealers can move the trade to paid and then closed, keeping raise progress and portfolio holdings in sync with the subscription lifecycle.

Investor portfolio and document vault

After closing, investors need a durable place to view holdings and retrieve documents. The portal provides portfolio visibility alongside a document vault for KYC packages, subscription agreements, confirmations, and deal materials — reducing repeat document requests to dealing representatives.

Events and webinars can also be published so issuers and dealers keep investors informed without leaving the branded experience. See the investor portal overview for branding, roles, and investor experience detail.

Commissions, referral agents, and partner statements

Exempt market distribution often involves layered compensation. The platform tracks issuer-to-dealer fee structures, dealing representative shares, and Referral Agent compensation. Partner statements and commission reporting give finance and operations a consistent view of what was earned on closed activity.

Combined with trade status and raise data, commission tools reduce spreadsheet reconciliation and support clearer statements for internal and partner stakeholders. Related dealer tools are covered under dealer compliance tools.

Reporting for operations and oversight

Dealers need exports that answer day-to-day questions: who is still mid-onboarding, which users are active, and what commission activity closed in a period. Exempt Market Connect provides reporting for:

• Commission reports — compensation tied to subscription activity
• Onboarding reports — application progress across the book
• User reports — accounts and role participation

These reports complement in-app dashboards so CCOs, dealer admins, and operations teams can work from the same source of truth.

Administration, roles, and form builder

Role-based access reflects how Canadian EMDs actually operate. Supported roles include Investor, DealingRep, Dealer admin, CCO, ReferralAgent, and Issuer. Each role sees the workflows and data appropriate to their responsibilities.

A form builder lets dealers configure KYC, trade, and checklist forms so the portal matches firm process — rather than forcing a one-size-fits-all questionnaire. Reminder emails, approval queues, and audit-friendly records help teams keep applications and trades moving.

Important: Exempt Market Connect is technology for registered exempt market dealers. Workflows are oriented to Canadian EMD practice and NI 31-103-style responsibilities, but the dealer remains solely responsible for compliance and regulatory obligations. Exempt Market Connect Inc. is not a registered dealer and does not provide investment advice.

White-label portal on your domain

Investors should experience your firm — your brand marks, your language, and preferably your domain. White-label configuration lets dealers present Exempt Market Connect as their investor portal, strengthening trust and keeping communication consistent from first KYC through portfolio access.

White-label is foundational, not an afterthought: onboarding, offerings, subscriptions, documents, and events all live inside the same branded shell. Explore investor portal capabilities or compare the broader category on our exempt market dealer software page.