Why Use an EMD?
Protection - EMDs are regulated by the securities commission for each jurisdiction in which they are registered. There are strict compliance and regulatory standards EMDs are required to meet.
Comfort Because EMDs are appropriately regulated and managed by securities professionals who adhere to high standard of compliance and client service, you can have peace of mind when you are dealing with an EMD. EMDs are accountable for their compliance practices, acting in good faith and acting in the best interests of their clients.
Proficiency All registered members within an EMD must pass a series of exams to ensure proficiency. Additionally, each EMD is required to have in place extensive policies and procedures to ensure that a strict code of conduct and proper client processes are followed to ensure fair and transparent service.
Best Practices Ensured There are many regulatory requirements placed on EMDs such as proficiency, capital and operational compliance requirements, audited financial statements, Financial Insurance Bond coverage, minimum $50,000 working capital requirement, independent dispute resolution and client reporting requirements.
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