Firms dealing in exempt market securities are now mandated to provide evidence of thorough due diligence on investments offered to investors. ExemptAnalyst provides a systematic, third-party approach to investment due diligence.
ExemptAnalyst provides a cost-effective option for independent, third-party research on Alternative Investments and Exempt Market Securities. With the goal of helping to foster a culture of compliance within the exempt market industry, our experienced roster of Chartered Financial Analysts perform rigorous quantitative and qualitative research on specific investment offerings under consideration for inclusion (or exclusion) in EMDs portfolios of recommended investments.
The introduction of new registration requirements through NI 31-103 brought many changes to the process of raising private equity in Canada. Many investment distributors not previously registered now face a host of new compliance regulations. In particular, all Exempt Market Dealers (EMDs) registrants are now required to have a formal process for due diligence – a process that is seamlessly linked to suitability assessments and know-your-product (KYP) obligations.