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  3. Exempt Market Dealer/Funding Portals

What is an Exempt Market Dealer (EMD)?

What is an EMD and how does addy work with them?

Exempt Market Dealers (EMDs) are fully licensed securities dealers who trade securities to qualifying exempt market customers. Our EMD partners help us promote, distribute, and sell our shares to our membership by facilitating the transaction.

EMDs are directly governed by the provincial securities commissions, and are subject to full dealer registration and compliance requirements. EMDs must meet all dealer obligations - educational proficiency, capital and solvency, insurance, audited financial statements, know your client, know your product, trade suitability, compliance systems, record keeping, client statements, trade confirmations, disclosure of conflicts of interest and referral arrangements, etc. These obligations also include the need for client statements, trade confirmations, and client statements. Every province and territory in Canada offers the EMD registration category.