Chaperone

For foreign broker-dealers, investment banks, placement agents, and financial institutions, the United States represents one of the world’s largest pools of institutional capital. Accessing that market, however, comes with significant regulatory requirements. FNEX helps foreign financial firms access U.S. institutional …

A practical guide to SEC Rule 15a-6 and how FNEX helps Malaysian investment banks and financial institutions access U.S. institutional investors. Introduction A Malaysian investment bank has strong deal flow across Malaysia and Southeast Asia but limited U.S. distribution. Another …

Introduction A Sydney-based investment bank wants to pitch a U.S. pension fund, distribute resources-sector research to a New York asset manager, or let its Melbourne sales desk take calls from a Boston institutional investor. None of these activities require full …

A practical guide to SEC Rule 15a-6 chaperoning arrangements, and how FNEX’s SEC 15a-6 Chaperoning Service helps UK broker-dealers reach U.S. institutional investors Introduction A UK investment bank wants to pitch a U.S. pension fund, distribute research to an asset …

A practical guide to SEC Rule 15a-6 chaperoning arrangements, and how FNEX’s SEC 15a-6 Chaperoning Service helps Singapore broker-dealers reach U.S. institutional investors Introduction A Singapore-based investment bank wants to pitch a U.S. endowment, distribute Asia-Pacific research to a New …

A practical guide to SEC Rule 15a-6 chaperoning arrangements, and how FNEX’s SEC 15a-6 Chaperoning Service helps Hong Kong broker-dealers reach U.S. institutional investors. Introduction A Hong Kong-based investment bank wants to pitch a U.S. endowment, distribute Greater China research …

A practical guide to SEC Rule 15a-6 chaperoning arrangements, and how FNEX’s SEC 15a-6 Chaperoning Service helps Swiss broker-dealers reach U.S. institutional investors. A Zurich-based private bank wants to pitch a U.S. family office, a Geneva asset manager wants to …

A practical guide to SEC Rule 15a-6 chaperoning arrangements, and how FNEX’s SEC 15a-6 Chaperoning Service helps French broker-dealers reach U.S. institutional investors. Introduction A Paris-based investment bank wants to pitch a U.S. pension fund, distribute research to a New …

For foreign broker-dealers, placement agents, and investment banks, the U.S. market represents one of the world’s deepest sources of institutional capital and deal flow. However, the traditional route to entering the United States financial market by establishing a U.S. subsidiary …

Written for non-U.S. broker-dealers, investment banks, and placement agents, this article explains how SEC Rule 15a-6 functions as the regulatory gateway to U.S. institutional capital—and how FNEX enables compliant access at scale. Contact Us The Regulatory Gateway to U.S. Institutional …

The United States remains the largest and most sophisticated capital market in the world. For foreign broker-dealers, access to U.S. institutional investors can dramatically expand distribution reach and unlock new capital-raising opportunities. However, this access is heavily regulated. Foreign financial …

The U.S. capital markets, overseeing over $115 trillion in annual securities trading (SEC, 2023), offer unmatched opportunities for foreign financial institutions. However, strict SEC and FINRA regulations create substantial barriers for non-U.S. firms looking to engage with U.S. institutional investors.  …