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Capital Markets

KoreConX Helps Companies Know Their Investors Through a KYC Approach.

The Capital Markets feature provides a Know Your Client (KYC) process enabling multiple jurisdiction operations. Companies can collect and manage all the regulatory requirements from each investor, including ID verification, suitability, AML and investor verification. Anti Money Laundering (AML) is a global requirement, including ID verification of each potential investor. The Capital Markets feature conducts an AML check, aiding compliance officers by determining if the investor is suitable to invest.

Companies then get a complete view of their investors with accurate records and establish a secure communication channel between them. This avoids bad investor indoctrination, non-compliance to AML and other regulatory issues.

Ensure that issuers Know Your Product (KYP) and complete their Due Diligence.

KYP and Due Diligence is a requirement that must be done by every issuer that is taken on-board to present to potential investors.

KoreConX Capital Markets ensures all necessary documentation is organized and ready to be distributed, before the financing opportunity is promoted.

Companies Can Manage Unlimited Investment Brokers Through KoreConX Capital Markets.

KoreConX white labels the Capital Markets and Compliance features for registered broker dealers. Dealing representatives get a dashboard to manage their initiated business for your company, and Capital Markets updates deal changes that could affect broker dealer licenses.

Broker dealers who use KoreConX Capital Markets reduce their compliance costs and simplify their capital market activity.

Sherwood Neiss, Partner, Crowdfund Capital Advisors.

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Portfolio Management

Get the full and simplified view of all your investments, organized in one central location. View company information (including board and management team), scheduled meetings, voting opportunities (electronic/e-voting), send and receive messages. Categorized by holding type (shares, options, warrants, debentures, etc.), as well as designations such as public and private.

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Minute Book

Keep bylaws, shareholder agreements, articles of incorporation and other business-critical documents in one secure location. Provide access to lawyers, auditors, shareholders and prospective investors, allowing consistent view across all parties.

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KoreConX’s compliance feature allows broker dealers to manage their due diligence requirements from issuers including full transparency on the entire application, review and listing (if subscribed to KoreConX Capital Markets), and includes reporting. Perform all your know your client (KYC), anti-money laundering, ID verification, suitability through our Compliance feature and even track online payments. Client reporting functionality (monthly, quarterly, annual) is also built in. Keep your broker dealer audit ready and organized at all times. For issuers, manage compliance with regulatory reporting, while maintaining good governance and transparency.

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