Registrant & Exempt Market Compliance

We provide practical, business-aligned compliance and registration support for EMDs, PMs, IFMs, and other exempt market participants.

How We Help

NI 31-103 Compliance (EMDs, PMs & IFMs)

• Registration analysis and exemption planning
• KYC/KYP/suitability processes, product due diligence, and CRM2/CFR compliance
• Policies, procedures, supervision frameworks, and compliance manuals

Registrant Applications, Support & Filings

• Firm and individual registration applications
• NRD filings, ownership/control submissions, and proficiency assessments
• Marketing and website/social media compliance review

Compliance Reviews

• Mock audits, remediation plans, and compliance testing
• Internal reviews and ongoing advisory retainers
• Staff training and CCO coaching

Regulatory Inquiries & Reviews 

• Response strategy to regulator staff inquiries, sweeps, and data requests
• Voluntary remediation, settlements, and undertakings
• Internal investigations and board-level reporting
• Preparation for regulatory examinations

Typical Clients: Exempt market dealers, portfolio managers, investment fund managers, and issuers distributing their own securities.