Expanding Opportunities for International Broker-Dealers
At TOBIN, we understand the growing demand for international investment diversification. Institutional investors are constantly seeking new avenues for growth and higher returns, often looking beyond traditional markets. This presents a unique opportunity for international broker-dealers with qualified issuers seeking capital within the US private capital markets.
However, navigating the intricacies of US securities regulations can be a complex and time-consuming process for foreign broker-dealers. TOBIN’s Chaperoning Broker-Dealer Service bridges this gap, offering a seamless and efficient solution to help you access the vast pool of US institutional investors.
What is a Chaperoning Broker-Dealer?
Think of our Chaperoning Broker-Dealer service as an international broker-dealer’s trusted guide and bolt-on broker-dealer in the US capital markets. Similar to our Managing Broker-Dealer (MBD) services for issuers, we act as the international BD’s US-based partner and broker-dealer, ensuring compliance with all relevant regulations while facilitating your capital-raising activities.
Here’s how it works:
- Streamlined Access: We remove the regulatory hurdles by acting as your registered broker-dealer for the offering. This eliminates the need for you to obtain your own FINRA membership and navigate complex licensing procedures.
- Expertise and Guidance: Our team of experienced professionals provides comprehensive guidance throughout the entire process. We understand the nuances of both US regulations and international business practices, ensuring smooth communication and efficient execution.
- Targeted Marketing & Distribution: We leverage our established network of institutional investors to connect you with the right audience for your unique offerings.
- Compliance & Documentation: We handle all necessary regulatory filings and documentation, ensuring your offering adheres to FINRA requirements.
- Transaction Management: We can manage the entire transaction process, from deal structuring to settlement, providing you with ongoing support and communication. We can do as little or as much as you need.
Benefits of Chaperoning Broker-Dealer Services
- Faster Time to Market: Avoid the lengthy process of obtaining or creating your own US broker-dealer. By working with TOBIN, you get up and running quickly, allowing you to focus on your core competencies and your issuers back home.
- Reduced Costs: Eliminate the significant expenses associated with setting up your own US operations. Our cost-effective solution maximizes your return.
- Enhanced Credibility: Partner with a reputable US broker-dealer like TOBIN to strengthen your credibility with potential institutional investors.
- Mitigated Regulatory Risk: Rely on our team of experts to ensures compliance with all applicable US regulations, minimizing legal and financial risks.
- Expert Market Knowledge: Benefit from our deep understanding of the US institutional investor landscape, allowing for targeted marketing and placement of your offerings.
- Streamlined Communication: Enjoy clear and consistent communication throughout the entire process, keeping you informed and involved every step of the way.
Ideal for Raising Private Capital in the US
Our Chaperoning Broker-Dealer service is designed to be particularly beneficial for international broker-dealers representing issuers outside of the United States who are seeking to raise capital through the following offerings:
- Private Placements: This service is ideal for issuers seeking capital from institutional investors through private placements of securities, including private equity, private debt, venture capital and real estate.
- Alternative Investments: The growing popularity of alternative investments makes the US market an attractive destination for issuers seeking capital for growth and expansion.
Why Choose TOBIN as Your Chaperoning Partner?
At TOBIN, we have a proven track record of success in helping international clients navigate the US capital markets.
We offer a unique combination of:
- Extensive Experience: With over a decade of experience in managing broker-dealer services, we have the deep industry knowledge and expertise to ensure a smooth and successful transaction.
- Unwavering Commitment to Compliance: We prioritize regulatory compliance, safeguarding your interests and ensuring a risk-free experience.
- Investor Network & Relationships: We have established relationships with a vast network of institutional investors, allowing for targeted marketing and placement of your offerings.
- Dedication to Client Success: We are committed to your success. Our dedicated team provides personalized attention and support throughout the entire process.
Unlocking the Potential of US Capital Markets
TOBIN’s Chaperoning Broker-Dealer service opens doors to a world of possibilities. By partnering with us, you gain access to the vast pool of US institutional investors, accelerating your capital-raising efforts and fueling the growth of your issuer clients.
Are you ready to unlock the potential of the US capital markets? We invite you to contact TOBIN today to discuss how our Chaperoning Broker-Dealer services can benefit your international business. Our experienced team is ready to answer your questions and guide you through every step of the process.