Regulatory Oversight at Financely Group. Licences, Chaperone Agreements, KYC Controls
Regulatory Oversight at Financely Group. Licences, Chaperone Agreements, KYC Controls
1. Advisory Exemptions
- Regulation D Rule 506(c). Financely supports issuers in private placements without soliciting purchasers for transaction-based compensation. Our role is limited to structuring, valuation analysis, and documentation support.
- M&A broker relief. Change-of-control transactions follow the SEC no-action letter issued January 2023. Financely executes advisory tasks while avoiding custody of client funds or securities.
- Trade-finance and credit-enhancement advisory. Documentary LCs, standby LCs, pre-export facilities, and borrowing-base lines are outside broker-dealer statutes. Remuneration comprises mandate retainers and, where applicable, success fees linked to non-securities financings.
2. Licensed Intermediaries
When a mandate entails placing a security for compensation contingent on success, a registered broker-dealer is engaged under a written chaperone agreement. The broker-dealer books the placement fee, files the requisite FINRA and SEC notices, and maintains records under Exchange Act Rule 17a-4. Financely invoices separately for advisory work, with all fee splits disclosed to the issuer and, when required, to prospective investors.
3. Transaction Types Advised
- Standby and documentary letters of credit issued under UCP 600 or ISP 98.
- Pre-export and reserve-based facilities for energy, metals, and agricultural bulk.
- Borrowing-base lines secured on receivables and inventory.
- Private credit instruments, including senior secured notes, mezzanine tranches, and project-finance term loans.
4. KYC and AML Protocol
- Corporate verification via registry extracts and beneficial-owner attestations.
- Sanctions, PEP, and adverse-media screening using tier-one compliance data feeds.
- Source-of-funds analysis aligned with FATF guidance.
- Continuous monitoring of active mandates for litigation, regulatory, or covenant events.
5. Data Security and Client Funds
- Documents stored in an ISO 27001-certified environment with role-based access.
- Retainers held in segregated client-money accounts at investment-grade banks. Financely neither holds investor principal nor custody assets.
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.
