A rare opportunity to acquire a fully-licensed Exempt Market Dealer (EMD) business registered with both the Ontario Securities Commission (OSC) and the British Columbia Securities Commission (BCSC). This turnkey, licensed shell allows the buyer to facilitate exempt market transactions, including raising capital and offering securities to accredited investors across Canada. The business is well-positioned to tap into the growing demand for alternative investment products and is ready for immediate operation.

Key Highlights:
• Dual Registration: Fully approved and operational in Ontario and British Columbia.
• Regulatory Compliance: The license adheres to all regulatory requirements, including client onboarding, reporting, and compliance frameworks.
• Turnkey Opportunity: Includes established operational processes, documentation templates, and compliance procedures.
• Growth Potential: Ideal for businesses looking to expand into the exempt market, or for new entrants seeking a foothold in the Canadian securities market.
• No Liabilities: Clean compliance history and no outstanding liabilities.

Ideal Buyer:
This opportunity is perfect for financial institutions, wealth management firms, or entrepreneurs seeking to diversify their offerings into exempt market products.

Obtaining an Exempt Market Dealer (EMD) license from the Ontario Securities Commission (OSC) and the British Columbia Securities Commission (BCSC) offers several advantages:

Access to a Broader Investor Base
An EMD license allows firms to engage with a wider range of investors, including accredited investors and eligible individuals, thereby expanding potential clientele.

Facilitation of Capital Raising
Firms can assist businesses in raising capital through exempt market offerings, providing opportunities to invest in private companies across various sectors such as real estate, technology, and healthcare.

Portfolio Diversification
EMDs offer investors access to alternative investment opportunities not typically available in public markets, enabling enhanced portfolio diversification.

Regulatory Compliance and Credibility
Registration as an EMD ensures adherence to regulatory standards, including thorough due diligence and “Know Your Client” procedures, which can enhance credibility with clients and partners.

Flexibility in Investment Offerings
EMDs can offer a variety of exempt market securities, providing clients with a broader range of investment options beyond traditional avenues.

Reason for Sale:
Aging ownership is focusing on other ventures; however, they remain flexible to partnership opportunities.

Next Steps:
Don’t miss this unique opportunity to acquire an EMD license and capitalize on Canada’s growing demand for exempt market investments.