Strategic transactions advisory across capital markets

Advising financial institutions on regulatory, transactional, and commercial matters.

‍RegComp advises investment advisers, private fund sponsors, broker-dealers, capital acquisition brokers, and related financial institutions operating across global capital markets. Our engagements focus on regulatory, transactional, and operational matters arising in connection with capital formation, transaction activity, and the expansion of regulated business lines.

These matters include licensing, jurisdictional scope, compensation arrangements, and the regulatory treatment of activities conducted in connection with capital formation and related financial activity. This includes private offerings and capital raises across institutional and accredited investor channels, evaluation of broker-dealer, capital acquisition broker, and advisory models, and analysis of transaction-based compensation, including where such arrangements may implicate broker-dealer registration under applicable securities laws.

We regularly analyze private offerings, third-party placement activity, and investor introduction arrangements, including the application of federal securities laws and FINRA rules and the regulatory boundaries governing such activity. We also address sponsor relationships, capital raising activity, and participation in private transactions, including the extent to which such activities implicate registration, supervisory, or disclosure requirements. We advise on strategic and transactional alternatives, including sponsor-led initiatives, direct and syndicated offerings, and expansion into adjacent regulated activities. These matters require concurrent consideration of regulatory requirements, compensation mechanics, disclosure obligations, and supervisory requirements.

We are typically engaged at inflection points where firms are entering capital formation activities, restructuring existing operations, or assessing prior and ongoing practices. In these contexts, we evaluate the regulatory implications of such activity and advise on appropriate forward-looking approaches. We also advise on regulatory considerations associated with technology-enabled financial services activities, including automated and data-driven models, as evaluated under existing securities laws and supervisory requirements.