Who may invest
Retail, professional or qualified investors, as the framework and your offering documents allow.
Service 03
Decide who can invest in your project, and let the platform check it automatically.
Every offering has rules: who may invest, from which countries, how much, and who they may sell to later. We write those rules down with you and your counsel, then configure them in the platform's rules engine, where they are built into the digital security. A transfer that breaks them does not go through. You do not have to police it by hand.
- When
- Alongside structure, before issue
- Configures
- The platform's investor rules engine
- Identity checks
- Through integrated KYC providers
The second reason projects fail
Rules added late cost the most
Many businesses treat investor rules as a compliance task for later. That is expensive. If the rules live in a spreadsheet or a manual process, someone eventually lets through a transfer that should have been blocked. If you try to add them after the security is issued, every change forces a re-issue and every investor has to be onboarded again.
We set the rules before issue, together with the structure, so they are part of the security from day one.
What the rules cover
From where
Which countries investors may be resident in, and which are excluded.
How much
Minimum and maximum holdings per investor, a cap on the number of holders, or a cap on the total held from one country.
When they may sell
Holding periods and lock-ups, and whether transfers are allowed only between verified investors.
Who is verified
Identity and anti-money-laundering checks run by your KYC/AML provider. Only investors who pass can hold the security.
What happens when things change
How a lost account is recovered, how a court order or inheritance is handled, and who in your team can approve it.
How the rules are enforced
The platform uses the security-token standard that checks the rules on every transfer (ERC-3643). Before any transfer completes, the rules engine checks that the receiving investor is verified and that the transfer fits every rule in your rulebook. If it does not, the transfer is refused and your team sees why in the console.
This is designed to support your compliance obligations, not replace them. You and your counsel decide the rules. The platform applies them the same way every time. Read how the standard works.
What you receive
- An investor rulebook in plain language, reviewed with your counsel
- The same rules configured in the platform's rules engine and tested against sample investors
- A test log showing which transfers pass and which are refused, and why
- Identity checks connected through the platform's integrated KYC providers, or your own
- A procedure for exceptions in your console: recoveries, inheritances, court orders
- A short guide for your team on changing a rule later, and what needs counsel sign-off
What we need from you
- The investor categories your structure and counsel allow
- Target and excluded countries
- Your KYC/AML provider, or a decision on which one to appoint
- Any holding limits required by the framework or by your lenders
- Names of the people in your team who approve exceptions
Rules you can see and change in your console
Once configured, your rules sit in the issuer console. Your team sees every refused transfer and the reason, and can adjust settings later without re-issuing the security. The platform already runs live regulated offerings. See the track record.
Before and after this step
The rules follow from Structure & jurisdiction, since the instrument and framework decide who may invest. They are configured in the rules engine during Platform setup and matter again in Distribution, because a trading venue will expect the same rules to apply to every buyer. See the platform.
Questions we get
Do you run the identity checks?
No. Identity and anti-money-laundering checks are run by your KYC/AML provider. The platform connects to them and uses the result to decide who may hold the security.
Can we change a rule after launch?
Yes, without re-issuing the security. Many changes are configuration. Changes that affect investors' rights or your offering documents need counsel sign-off first.
What if an investor loses access to their account?
Recovery follows the procedure you approve before launch. The investor's identity is checked again and the holding is restored to them, with a record kept.
Does this make us compliant?
It is designed to support your compliance obligations by applying the rules automatically. Compliance itself remains your responsibility as issuer (the business making the offer), with your counsel.
What does this mean for a small business?
You can open your project to customers, neighbours and investors abroad without keeping track of every investor by hand. The platform checks each one against your rules, and your team only steps in for exceptions.
Investor rules are set by the issuer with qualified counsel. The platform applies them automatically but does not replace the issuer's own compliance obligations.
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