EMD Services
EMD Services
Status
Registered Exempt Market Dealer
Jurisdictions
Ontario · British Columbia · Alberta
Registration
NRD #70440
Startly Capital is the operating name of Startly Inc. (Ontario), a registered Exempt Market Dealer serving established investment managers conducting ongoing exempt market distributions.
We provide a registered dealer platform for private investment funds, private REITs, Mortgage Investment Corporations (MICs), private credit funds, and other evergreen investment vehicles seeking a long-term dealer relationship supported by experienced compliance, supervision, and governance.
The Platform
A Compliance-Focused Dealer Platform
We primarily support established evergreen investment programs raising more than $10 million annually.
Conducting continuous exempt market distributions requires more than registration. Registered dealers are expected to maintain effective supervisory systems, documented compliance procedures, KYC, KYP and suitability processes, conflict of interest management, regulatory reporting, recordkeeping, and ongoing supervision of registered individuals.
Our platform enables investment managers to conduct ongoing exempt market distributions through an established registered dealer while reducing the operational burden of building and maintaining internal dealer infrastructure.
Subject to securities compliance and Startly’s onboarding, training, and supervisory requirements, eligible issuer investor relations professionals may become registered Dealing Representatives sponsored by Startly. This allows investment fund managers to continue working with their investors within an established dealer supervision framework.
What We Do
Our Services
01
Registered Dealer Platform
Operate through an established Exempt Market Dealer with documented compliance systems, supervisory controls, governance processes, and ongoing dealer oversight.
02
Issuer Due Diligence and Product Review
Support for issuer onboarding, product review, due diligence, and ongoing monitoring consistent with the obligations of a registered dealer.
03
Investor Onboarding and Suitability
Oversight of know your client (KYC), suitability determinations, subscription documentation, and investor onboarding.
04
Dealing Representative Supervision
Registration sponsorship, onboarding, supervision, continuing education, compliance guidance, and ongoing oversight of registered Dealing Representatives.
05
Compliance and Regulatory Support
Compliance testing, regulatory reporting, recordkeeping, audit preparation, compliance reviews, and support during securities regulatory examinations.
Who We Serve
Who We Serve
We work with established investment managers operating recurring capital raising programs, including:
- Private investment funds
- Private credit funds
- Private real estate investment trusts (REITs)
- Other evergreen investment vehicles
- Private equity and venture capital funds
- Infrastructure and alternative investment funds
- Mortgage Investment Corporations (MICs)
Our clients typically manage established investment strategies with recurring exempt market distributions and require scalable dealer supervision as their assets under management and investor base continue to grow.
The Case
Why Startly Capital?
Lawyer-Led Compliance
Startly is led by an experienced corporate and securities lawyer serving as the firm’s Chief Executive Officer, Ultimate Designated Person, Chief Compliance Officer, and a Dealing Representative. Our regulatory framework reflects extensive experience advising issuers, investment funds, registrants, and other market participants on Canadian securities law.
Built Around Regulatory Compliance
Our dealer platform is designed to support compliance with applicable securities legislation and the ongoing obligations of a registered Exempt Market Dealer through disciplined supervision, documented procedures, and effective governance.
Established Dealer Infrastructure
Investment managers gain access to an experienced registered dealer without the cost and complexity of establishing and maintaining their own dealer.
Preserve Existing Investor Relationships
Where appropriate, registered Dealing Representatives sponsored by Startly may continue to work directly with investors under Startly’s supervisory framework and compliance program.
Scalable for Long-Term Capital Raising
Our platform is designed to support long-term fundraising programs, increasing assets under management, and expanding investor bases while maintaining appropriate regulatory oversight.
Next Step
Schedule a Telephone Consultation
If you manage an established investment fund or other evergreen investment vehicle and require an experienced registered dealer to support ongoing exempt market distributions, contact us to discuss your business, regulatory obligations, and dealer requirements.
We work with investment managers seeking a long-term dealer relationship founded on disciplined compliance, effective supervision, and practical experience in Canadian securities regulation.
Connect with Startly to discuss your EMD requirements.