Financely Legitimacy and Regulatory Posture: Corporate Structure, KYC/AML, and Legal Disclosures
Financely Legitimacy and Regulatory Posture: Corporate Structure, KYC/AML, and Legal Disclosures
This page sets out who we are, the role we contract for, the checks we run on every engagement, and the limits we operate under. It also gives a simple checklist a counterparty can use to verify us.
1) Corporate Structure and Role
| Entity | Function | Notes |
|---|---|---|
| Financely Inc. | Corporate finance consulting company. | Wholly owned by Aurora Bay Trust, a Bahamas established trust or its relevant authorised affiliates. |
| Financely Group LLC | Advisory arm that carries out mandates. | Best-efforts engagement. We are not a securities broker/dealer. |
2) What We Are / What We Are Not
- Advisors that structure capital stacks and run diligence workstreams.
- Counterparty screeners. We verify lenders, funds, and trade desks before introductions.
- Process-driven. Sequence is KYC, data room, retainer, underwriting, terms, closing.
- Not a retail lender. Not a broker/dealer.
- Not promoters of PPP, “bullet trades,” or leased-instrument cashouts.
- Not success-fee-only on cold files with no equity and no documents.
3) KYC/AML Program Overview
| Control | Scope | Evidence |
|---|---|---|
| Identity and BO checks | Passports, corporate registry extracts, beneficial ownership declarations. | Copy IDs, registry PDFs, BO forms, and screening logs. |
| Sanctions and adverse media | Screening of principals, entities, and key suppliers. | Search logs retained in the file. |
| Source-of-funds comfort | Bank letters, escrow confirmations, or vendor deposit records where relevant. | Bank statements or third-party confirmations. |
4) Fee Policy and Client Money
- Activation funds intake and screening. Non-refundable once screening begins.
- Retainer funds underwriting, modeling, legal coordination, and market work.
- Success fee is paid at funding only. Best-efforts model.
- Escrow is third-party when required by the transaction. We do not co-minglе client funds with operating cash.
5) Conflicts, Gifts, and Marketing Claims
- Conflicts are disclosed in writing. We do not act for competing bidders on the same asset without consent.
- Gifts and incentives are recorded and kept within policy limits.
- Marketing avoids promissory language. No “guaranteed funding” claims. Outcomes are case-by-case.
6) Counterparty Vetting
- Institutional coordinates and signatory authority.
- Track record on similar tickets.
- Term provenance and settlement mechanics.
- Anonymous emails and unverifiable domains.
- Requests for RWA/MT799 before mandate and KYC.
- “Program” terms, leased paper cashouts, or 100% LTC with zero equity.
7) Jurisdictional Limits and Prohibited Requests
| Category | Position |
|---|---|
| Securities distribution | We do not act as a broker/dealer. Where a registered party is required, we involve one. |
| PPP and “bullet trades” | Declined outright. |
| Leased-instrument monetization | Declined outright. |
| 100% financing with zero equity | Out of policy. Sponsor equity is required. |
8) Data Protection and Recordkeeping
- Access to files is role-based. Audit trails are kept for mandate documents and communications.
- We redact private data when sharing materials with third parties.
- Retention follows contractual or statutory periods, then secure disposal.
9) How to Verify Us
- Signed engagement on letterhead with scope, fees, and signatory name.
- Corporate registry extracts for the contracting entity.
- Domain-verified email with DKIM/SPF passing on headers.
- Reference calls on closed work, shared under NDA.
- Third-party escrow coordinates where applicable.
10) What to Ignore Online
Need a written confirmation of role and scope?
Request a template mandate and our verification pack. We will send scope, fee schedule, and compliance requirements.
Request a verification pack
Tell us your company name and the facility you are exploring. We will reply with the documents listed above.
Contact UsFinancely provides investment banking advisory on a best-efforts basis. We are not a broker-dealer. We do not guarantee funding. All engagements require activation and retainer fees, KYC and AML, and full underwriting. This page is a general disclosure and not legal advice.
Get Started With Us
Submit Your Deal & Receive a Proposal Within 1-3 Working Days
Submit your deal using our secure intake form, and receive a quote within 1-3 business days. Existing clients can connect with their relationship manager through our secure web portal.
All submissions are
promptly reviewed, and all communications are conducted through the intake form or the client portal for a seamless and secure process.
Thank you for considering working with us. A nominal fee of US$500 is required upon completion of each form. This fee covers the time and effort we invest in reviewing your submission and crafting a thorough proposal. We receive numerous inquiries and prioritize those that carry this fee, ensuring serious applicants receive prompt attention.
Trade Finance
Tap into solutions like letters of credit, bank guarantees, and payment facilitation. We address the challenge of global transaction risk through structured strategies that foster cross-border growth. Complete the form to unlock streamlined funding aligned with your commercial objectives.
Submit a RequestProject Finance
Access non-recourse funding for infrastructure, renewable energy, or other capital-intensive ventures. We mitigate capital constraints by isolating project assets and focusing on risk management. Provide your details to receive a structure that drives growth and maximizes returns.
Submit a RequestAcquisitions
Secure financing for business or real estate acquisitions. We ease transaction hurdles by reviewing cash flow, synergy opportunities, and exit plans. Complete the form for a customized proposal that supports your strategic investment objectives.
Submit a RequestFor Banks
Financely assists banks facing Basel III pressures by distributing trade finance deals and providing collateral for letters of credit. We reduce capital burdens while preserving client relationships and fostering service expansion. Submit your request to optimize your trade finance offerings.
Submit a RequestOnce we receive your submission, our team will review your information to determine feasibility. If eligible, you will receive a proposal or term sheet within 1–3 business days. Visit our FAQ and Procedure pages for more information.
Disclaimer: Financely provides financing based on due diligence and feasibility. Approval is not guaranteed, and past performance does not predict future outcomes. All terms are subject to review. Financely primarily assists with structuring and distribution. Qualified parties carry out the project if the client approves the proposal.
