Axcess Capital
Why work with Axcess Capital?
An EMD is a securities firm that is registered with one or more provincial securities regulators to distribute prospectus exempt securities to clients that qualify for certain exemptions under National Instrument 45-106 Prospectus and Registration Exemptions (NI 45-106). These exemptions under NI 45-106, not only restrict who can purchase exempt securities, but in certain provinces, there are minimum and maximum purchase thresholds that could restrict how much a person can actually buy.
Exempt securities are often referred to as “private capital” because they are not publicly traded and are often “illiquid” as they do not reside on a public exchange or stock market and cannot be sold through a secondary market – which is why they are deemed “high risk”.
Axcess Capital Advisors is registered as an EMD in British Columbia, Alberta, Saskatchewan, Manitoba and Ontario with its principal regulator being the Alberta Securities Commission (ASC). The firm ensures it complies with the full regulatory requirements of securities dealer regulation, including:
- Educational proficiency for its registered individuals and its chief compliance officer
- Minimum capital and excess working capital
- Audited financial statements
- Record keeping
- Know Your Client (KYC) obligation
- Trade suitability obligations
- Compliance systems and internal control mechanisms
- Disclosure of referral arrangements
- Disclosure of conflicts of interest
- Comprehensive policies and procedures manuals
- Trade confirmations and client statements
- Procedures for client complaint handling
- An independent dispute resolution service
- Maintaining adequate insurance coverage to protect the firm and its clients
More information on EMDs and their regulatory obligations can be found by going to the website of your provincial Securities Regulatory Authority. General information about the exempt markets can also be found on the website of the Private Capital Market Association of Canada (PCMA).
Grow your return potential through diversification. Axcess Capital Advisors is dedicated to helping its clients and other investors add to the growth potential of their portfolios through diversification in asset classes other than stocks, bonds and cash.
Building wealth requires a well-balanced, diversified portfolio that will help protect your investments from market ups and downs. Having exposure to investments that are non-correlated to the public markets could benefit your portfolio by adding the potential for higher, risk-adjusted returns.
Exempt securities provide exposure to private companies or alternative investments that are not traded on a public market and can be sold without a prospectus, which is mandatory for publicly traded investments. Exempt Securities include, for example, debt, equity, asset-backed securities, Real Estate Investment Trusts (REIT), and Mortgage Investment Corporations (MIC).
Axcess Capital Advisors offers select exempt products that can bring an additional level of diversification to a traditional portfolio – thereby enhancing growth by harnessing the possible higher-return potential that can come from adding alternative investments to your portfolio.
Investors should be aware that there are many risks associated with exempt securities and that they may not be suitable for everyone. To find out how you may benefit from exempt securities, please contact us directly to discuss the risks associated with high-risk securities and whether or not they are suitable for you.
