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EXEMPT EDGE: INNOVATIVE SOFTWARE TO PROMOTE REGULATORY COMPLIANCE

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EXEMPT EDGE: PROVIDING TECHNOLOGICAL SOLUTIONS TO PARTICIPANTS OF THE PRIVATE CAPITAL MARKETS OF CANADA. TECH SOLUTIONS BUILT FOR THE EXEMPT MARKET BY THE EXEMPT MARKET. Article by Stephen Preston, Co-Founder and Vice-President, Exempt Edge

Sales & Practice Management Related Questions: 1. As co-founder, what led you to build this technology for the private capital markets? Having been involved in the industry for over 5 years, the lack of good technology was always a hot topic. After watching several companies try to morph their mutual fund software to fit into the private markets and fail - we decided to that the time was right for us to build it ourselves.

20 • PRIVATE MATTERS TODAY • WWW.PMTODAY.CA

2. What processes does Exempt Edge have to help dealing representatives streamline? A lot is expected from dealing representatives in terms of compliance and we make it easier for them to get a better picture of a clients potential suitability and current financial position. Just having charts and graphs organized in a single place within the clients’ profile can give DRs some powerful tools in seeing a more complete view of their client.


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