As an Exempt Market Dealer (EMD), an Investment Fund Manager (IFM), and a Restricted Portfolio Manager (RPM), Axcess Capital Advisors provides supportable, transparent services for issuers, fund managers, EMDS, Mortgage Investment Corporations and syndicated mortgages.
IFM Services
With over 30 years of MIC and mortgage syndication experience, Axcess Capital Advisors, as an IFM and RPM registered in Alberta, and its affiliated company, Axcess Capital Managers, specialize in the operations and administration of MICs, syndicated mortgages and other investment funds.
Retail EMD Services
As a retail EMD, Axcess Capital Advisors has Dealing Representatives that are registered in British Columbia, Alberta, Saskatchewan, Manitoba and Ontario.
EMD as a Service
For issuers that require sales and distribution support, Axcess Capital Advisors provides its EMD as a Service platform. This allows issuers to raise money without having to register as an EMD or to rely on a third-party EMD for distribution. Our EMD as a Service platform is available in British Columbia, Alberta, Saskatchewan, Manitoba and Ontario.
Fund Management
What is a Fund Manager
A fund manager is responsible for implementing a fund’s investing strategy and managing its portfolio trading activities. A fund can be managed by one person, by two people as co-managers, or by a team of three or more people. Fund managers are paid a fee for their work, which is a percentage of the fund’s average assets under management (AUM).
A Fund Manager is responsible for managing the fund’s investments and ensuring that the fund’s strategy is aligned with its goals. The manager is responsible for the overall operation of the fund, from customer service to risk management. Therefore, investors should consider fund managers a key factor in their selection of a fund. Fund managers must ensure their funds’ reporting requirements are met. Funds are designed with different strategies and objectives and have different risks, policies and expenses. These details are important to clients and regulators and often clearly outlined in a Offering Memorandum, a Bare Trust document or a Prospectus. Fund managers are responsible for ensuring that the various offerings are managed, completed, filed and distributed in accordance with the offering documents.
Compliance
Fund managers must also ensure their funds operate in accordance with regulations outlined by regulatory authorities, including the Alberta Securities Commission and other Canadian Securities Regulators.
Back Office Administration
Back Office Administration in the finance world is where an office processes the day-to-day paperwork and record-keeping associated with trades, confirmations, settlements and other financial transactions.
WHY IT MATTERS
It’s easy to say that the back office is simply “administrative support” for “the people that matter,” but the truth is back offices are massive, crucial, often-unseen and usually unappreciated segments of the financial services industry. In many ways, they are the sausage factory that does the day-to-day work of the industry; without back offices, the financial industry would not work. Back offices are also responsible for managing the regulatory compliance related to trade execution and account records. Axcess Capital Advisors has a strong and robust “back office team” with depth and experience.
CRM2 Statement Systems
AXCESS CAPITAL ADVISORS INC.
CRM2 Statement Systems
What is CRM2?
CRM2 is a financial services protocol that was introduced by the regulators to bring more transparency to client reporting obligations of securities dealers.
CRM2 is an acronym for the Client Relationship Model Phase 2, the financial services protocol that became Canadian law in July 2016 and brought a greater degree of transparency into the investment industry, which allows YOU the investor greater insight into the costs – both upfront and on-going – associated with the purchases you make and the accounts that you hold.
For example, securities dealers are required to clearly inform clients, on an annual basis, exactly how much they have paid in fees.
CRM2 obligates a securities dealer to provide an annual report that details the fees you’ve paid as well as an Investment Performance Report showing how your accounts have performed using a money-weighted rate of return.