Nexis Ventures operates in strict adherence to applicable securities laws in Canada and any other jurisdictions where its activities occur. This policy outlines our commitment to regulatory compliance, ensuring transparency and protecting the interests of all stakeholders.

1. Purpose

The purpose of this policy is to:

• Ensure Nexis Ventures complies with federal, provincial, and territorial securities regulations in Canada.
• Provide a clear framework for how Nexis Ventures operates within the boundaries of securities laws.
• Protect investors by promoting fair, honest, and transparent practices.

2. Scope

This policy applies to all:

• Members and investors participating in Nexis Ventures activities.
• Directors, officers, employees, and advisors of Nexis Ventures.
• Communications, transactions, and investments facilitated through the syndicate.
  

3. Registration and Compliance Obligations

• Exemption from Registration
  – Nexis Ventures operates under applicable registration exemptions under Canadian securities laws, such as the “accredited investor,” “offering memorandum,” and Friends, Family, and Business Associates (FFBA) exemptions. FFBA participants are required to meet the specific relationship criteria as outlined by Canadian securities regulators.
  
  
• Offering Memoranda (OMs)
  – All investments facilitated through Nexis Ventures will comply with offering memorandum requirements, where applicable, and provide detailed disclosures about the investment opportunity.
  – OMs will include essential information such as issuer details, associated risks, financial statements, and material facts.
  
  

• Accredited Investor and FFBA Verification
  – Nexis Ventures will verify the status of all investors qualifying under relevant exemptions, including FFBA and accredited investors, ensuring compliance with regulatory requirements.
  – Documentation, such as proof of relationships for FFBA and proof of income or net worth for accredited investors, may be required.

4. Disclosures and Reporting

• Nexis Ventures will provide accurate, clear, and timely information to investors, FFBA participants, and regulatory authorities as required by law.
• Disclosures will include financial statements, investment performance reports, and material changes to operations.

5. Prohibition of Misrepresentation

Nexis Ventures strictly prohibits:

• Misleading statements or omissions about investment opportunities.
• Promises of guaranteed returns.
• Solicitation of investments from ineligible investors, including non-verified FFBA participants.

6. Investor Protection Measures

• Risk Acknowledgment

All investors, including FFBA participants, will sign a risk acknowledgment form before making investments to confirm their understanding of the risks involved.

• Confidentiality

Nexis Ventures ensures secure handling of investor and FFBA participant data, complying with privacy laws.

• Dispute Resolution

Disputes will be resolved per the Dispute Resolution Policy outlined on the Nexis Ventures website.

7. Marketing and Communications

• All promotional materials and communications will adhere to securities advertising rules, ensuring they are not misleading or deceptive.
• Disclaimers will be included in all investment-related communications, particularly for FFBA-targeted outreach.

 

8. Training and Oversight

• Nexis Ventures staff and advisors will receive training on securities compliance, including FFBA-specific guidelines.
• A compliance officer will oversee adherence to this policy and manage regulatory filings.

9. Penalties for Non-Compliance

Failure to comply with securities laws may result in:

• Legal penalties, including fines or revocation of registration exemptions.
• Suspension or termination of membership, employment, or FFBA eligibility with Nexis Ventures.

10. Policy Review

This policy will be reviewed annually or as needed to reflect changes in securities laws, operational practices, or FFBA regulations.

11. Contact Information

For questions or concerns related to securities compliance, including FFBA-related inquiries, please contact admin@nexisventures.ca