DealPoint Empowers Exempt Market Dealers

Is this your story?

Regulatory compliance is complicated and difficult to manage, especially when I have 40 dealing reps across the country and many offerings on the go. With DealPoint, I can manage all aspects of the investment process online. We provide platform access to our investors, our dealing reps, administration team and CCO. Our reps simply invite their investors to provide all KYC and suitability information and access to offering documents. When ready, they execute subscription documents and we start the approval process, validate ID and track through to closing in one permission based console that gives us a complete view of the firm’s activities.

Digital art of a bank
DealPoint desktop user interface

Seamless investor onboarding & compliance

Benefits for you

  • Assign investors to advisors & reps, ensure that investors are always receiving the best possible experience
  • Built in support for all aspects of onboarding including KYC, AML, PEP and suitability checks
  • Advisors, CCOs and dealer admins have access to compliance console to manage investment process, see progress and review trades

Benefits for your clients

  • Eliminate reptitive onboarding - if investor has valid KYC on file, they acknowledge “nothing has changed” and proceed directly to investment
  • Seamless integration for registered plans with most trustees
  • Support for multiple accounts such as individual, joint and corporate as well as HoldCos and trusts

Want to join us in making the private capital markets more efficient?

We used to spend all of our time correcting subscription agreements, going back and forth with our investors. I like that the software generates the right documents – talk about saving time and reducing investor frustration!