Tag: EMD

KoreConX Exempt Market Dealer

The exempt market in Canada is going through some major developments that will fundamentally change how the private market will be seen by investors.Digital Securities provide companies, who are raising capital, the opportunity to offer their investors another potential exit that until now was only seen as a pipe dream.It’s no longer a dream, it’s…

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KoreConX

So, you’re thinking of setting up your own Exempt Market Dealer “EMD”. Starting your own firm, along with the additional compliance responsibilities, can be daunting, but being your own boss can be rewarding. Since NI 31-103 was enacted in 2009, regulators have imposed more obligations on EMD registrants: audit, insurance, proficiency, and now Chief Compliance Officer experience…

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