Exempt Market Dealer


In 2009, the Canadian Securities Administrator enacted National Instrument 31-103, creating a new investment dealer category called an Exempt Market Dealer (EMD) to sell prospectus-exempt (private) securities. EMDs are governed by the securities regulator in each province in which they are registered. EMDs must comply with NI 31-103, which sets out their responsibility to “know-your-client”, “know-your-product” and ensure investments are suitable for their clients.  Tri View Capital is registered in British Columbia, Alberta, Saskatchewan, Manitoba and Ontario.