Exempt Market Dealer
Operate under the oversight of a registered Exempt Market Dealer while retaining full control of your investor relationships. We provide the regulatory framework — you deliver on your investment mandate.
Seamless processing through our registered dealer platform — from KYC to trade confirmation.
Comprehensive supervision and recordkeeping aligned with NI 31-103. All regulatory filings managed on your behalf.
Clear, timely investor documentation and trade confirmations — fully compliant with provincial requirements.
We review your offering structure and confirm it meets applicable prospectus exemptions and securities regulations.
Your offering undergoes our multi-stage due diligence. Only approved offerings reach our registered investor base.
We manage KYC, suitability, trade confirmations, and all regulatory filings across five provinces.
As your capital needs grow, our registered infrastructure grows with you — no replatforming required.
"Partnering with Axcess gave us immediate access to a compliant distribution network across multiple provinces — something that would have taken us years and significant capital to build independently."
— Fund Manager, Alberta-based REIT
Full Know-Your-Client and suitability assessment processes managed on your behalf — regulatory filings included.
Every trade confirmation, regulatory report, and provincial filing handled accurately and on time.
Registered distribution across BC, AB, SK, MB, and ON — ready to activate immediately.
Ready to see how Axcess can help your fund? Tell us about your offering and we'll walk you through how our infrastructure can support your growth.
Book a Consultationgovernance for your fund
As a registered Investment Fund Manager, Axcess provides independent oversight and governance for new or existing funds — building institutional credibility and investor confidence through rigorous third-party oversight.
Comprehensive Review
Thorough evaluation of offering documents, financials, and operational controls. We ensure every fund structure meets regulatory and institutional standards before launch.
- Offering memorandum review
- Financial statement assessment
- Operational controls evaluation
- Structural design input
Ongoing Compliance
Strict adherence to National Instrument 81-102 & 81-106. We manage your ongoing compliance obligations so your management team can remain focused on investment performance.
- NI 81-102 & 81-106 compliance
- Annual compliance reviews
- Regulatory filing management
- Policy and procedure updates
Independent Governance
Third-party management review and accurate investor reporting. Our independence provides the governance framework that sophisticated investors and regulators expect.
- Board and governance support
- Investor statement production
- Annual reporting management
- CRM2 compliance
Launch Support
From initial concept to capitalization, we provide end-to-end guidance. Our team assists with structural design, operational setup, and market readiness, ensuring a smooth and compliant launch process.
- Fund structure design
- Operational setup and testing
- Market readiness assessment
- First close coordination
Talk to our team about how Axcess Capital can provide the infrastructure your fund needs to grow with confidence and compliance.
Schedule a Discovery Callprofessional administration
Gain access to the FundSERV network, connecting your offering to CIRO managed accounts and family offices for broader market reach. Achieve scalable distribution with professional administration and clear reporting.
FundSERV Integration
Full integration with the FundSERV network — Canada's fund transaction system connecting your offering to dealers, CIRO managed accounts, and family offices nationwide.
- FundSERV network connectivity
- Electronic order routing
- Straight-through settlement
- Dealer reconciliation
Trade Processing
Efficient subscription and trade settlement — from order receipt through to confirmation and settlement, every transaction processed with institutional precision and full audit trail.
- Subscription processing
- Redemption management
- Trade confirmation issuance
- Settlement coordination
NAV Valuation
Accurate net asset value reconciliation and reporting — daily, weekly, or monthly calculations with full transparency and third-party verification support where required.
- NAV calculation and reporting
- Unit pricing management
- Audit trail maintenance
- Third-party verification support
Investor Recordkeeping
Comprehensive investor tracking and compliance monitoring — full maintenance of investor registers, unit ledgers, beneficial ownership records, and all required documentation.
- Investor register maintenance
- Unit ledger management
- Beneficial ownership tracking
- Distribution processing
Let's talk about how Axcess Capital's FundSERV infrastructure and back-office capabilities can accelerate your fund's growth.
Book a Consultationfor long-term success
We help you build robust internal policies, risk management frameworks, and legal alignment to meet industry standards. By partnering with legal, audit, and trustee professionals, we ensure your structure meets institutional standards from day one.
- Internal policy and procedure development
- Risk management framework design
- Legal and trustee partner coordination
- AML program design and compliance
- Annual compliance review and reporting
- Staff training and licensing support
- Audit preparation and support
Book your consultation today and let's discuss how to build a compliant, scalable fund structure from the ground up.
Book your Consultation today