Effective June 30th, 2021, Canadian Securities Administrators (“CSA”) have implemented new regulations called Client Focused Reforms (“CFR”) which apply to all registrants in the Canadian securities industry, including IIROC, MFDA, Exempt Market Dealers, advisors, portfolio managers and Dealing Representatives. These regulations apply to Axcess Capital Advisors Inc. (“we”, “us”, “our “, or “Axcess”) which is registered as an Investment Fund Manager (“IFM”) and Restricted Portfolio Manager in Alberta, and an Exempt Market Dealer (“EMD”) in Alberta, British Columbia, Manitoba, Ontario, and Saskatchewan.
The purpose of the Client Focused Reforms is to better align the interests of an advisor with the interests of clients. The CFRs are based on the fundamental concept that Dealing Representatives and Dealers should put client interests first when making investment recommendations. One key requirement of the CFRs relates to how Dealers deal with conflicts of interest. Dealers must implement policies, procedures, and controls to demonstrate that they have addressed material conflicts of interest in the best interests of YOU the client.
Pursuant to the new regulations, this Conflicts of Interest Disclosure is provided to you as a client of Axcess to ensure you understand existing and reasonably foreseeable material conflicts of interest that affect your interests as a client of Axcess Capital Advisors Inc.

Click link below to read full disclosure document

“Client Notice regarding Client Focused Reforms effective June 30, 2021”

EMD as a Service Platform

Axcess Capital Advisors has regulatory approval to provide Exempt Market Dealer as a Service (EMDaaS) to MIEs, MICs and other issuers in British Columbia, Alberta, Saskatchewan, Manitoba and Ontario.

The EMDaaS platform allows issuers to register an in-house Dealing Representative with Axcess Capital Advsiors who will provide sales support to the issuer. All oversight on registerable activities and compliance supervision on the in-house Dealing Representative will be done by Axcess Capital Advisors.

This allows issuers to raise capital from their current client database at a significantly lower cost while controlling their valuable client database. It also means the issuer does not have to rely on a third-party EMD for distribution or register as an EMD in order to raise capital.

A full due diligence review by Axcess Capital Advsiors  will still be required.

Controlling your capital requirements while protecting your valued client database is as important to us as it is to you.