Investment Services

Alternative investment opportunities for discerning clients

What are Exempt Market Dealers (EMDs)?

EMD stands for Exempt Market Dealer, a registered securities dealer. Windstar specializes in trading prospectus-exempt securities, or any securities to qualified investors. A key reason for investing with EMDs is to diversify your portfolio beyond the usual publicly-traded companies with a prospectus. EMDs are licensed in each province in which they sell exempt securities and are regulated to meet industry standards of accountability, proficiency, and open and fair dealings with clients.

Windstar is licensed in the provinces of British Columbia and Ontario.

What kinds of investors does Windstar help?

Our clients include companies, institutional investors, accredited investors (knowledgeable/high net worth individuals eligible to trade Exempt Market securities). Windstar provides valuable services to businesses of almost any size including investment funds, merchant banks, financiers and entrepreneurs.

What market sectors does Windstar focus on?

We can offer a wider range of investment options than more traditional portfolio managers. This may take the form of specific market sectors or a broader cross-sector approach.

Specific Market Sectors

Windstar may focus on specific sectors, such as oil and gas, real estate, mining, or technology. Non-publicly traded companies in these sectors need investors to realize their goals.

What regulations are EMDs required to meet?

EMDs are subject to comprehensive dealer registration and compliance requirements and are directly regulated by the securities commissions in the provinces they do business in.

Understanding your goals

EMDs are required to follow the same “Know Your Client” (KYC) and “Know Your Product” (KYP) procedures and carry the same “Suitability” obligations as other registered dealers. These requirements ensure that each client’s personal, financial and investment profile is understood and confirmed prior to any trading activity.

In addition, EMDs are required to meet all dealer obligations in terms of educational proficiency, capital and solvency, insurance, audited financial statements, trade suitability, compliance systems, record keeping, trade confirmations, disclosure of conflicts of interest and referral arrangements.

Bottom line, EMDs must carefully consider and ensure that any security recommended to a client is suitable for that individual investor by matching their investment goals and profiles with appropriate investment products.

We take a personal interest in finding the “right fit” to match your needs

At Windstar, we are exclusively focused on collecting private data and know-your-product in-depth analysis to keep our clients informed and on the cutting edge of alternative investment opportunities.