Following a close of investors, FINRA or an underwriter may ask for an audit that will require the clarification of investor transaction and status within your deal, often those who are accredited or not or confirmation of payments made by each investor.
To assist with compiling this list, you can first turn to your reconciliation report, either provided by DealMaker following your close or by speaking with your account manager, where you can order one.
Alongside your reconciliation report you can cross reference with the questionnaire response export (to find out how to export reports, click here). Within the report you are looking for investors that provided an answer for the following questions:
Canadian Accredited Investors:
- The next few questions aim to determine "accredited investor" status of [investor_name] which is required by Canadian securities laws. Please select the most appropriate option from the list below. <br>Is [investor_name] one of the following?
- Which of the following is more applicable?
- Is [investor_name] one of the following?<br> This is your last set of options. If none of these are applicable, press the back button as you will need to make a selection of one of the exemptions in order to move forward with your documents.
US Accredited Investors:
- Which of the following is most applicable to [investor_name]?