Compliance Infrastructure Designed for Deal-Focused Investment Banks
M&A bankers and placement agents operate under constant regulatory pressure. Finalis combines experienced broker-dealer oversight with practical transaction support and technology infrastructure.
Practical Support for M&A, Capital Raises, and Secondaries Transactions
Add Finalis to your team
Registered broker-dealer affiliate with deep regulatory expertise
Experienced with foreign firms (non-U.S. registered)
Dedicated Customer Success Manager
Live transaction support from engagement letter to payment processing
Operate Under Your Own Brand
We deliver the benefits of broker-dealer ownership, without the headaches
Your Name. Your Deals. Our Support.
Watch How AI Speeds Up Engagement Letter Approvals
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Compliance You Can Operate On
For Elite M&A Bankers & Placement Agents
Launch your firm confidently. Finalis combines broker-dealer compliance expertise with a technology platform purpose-built for M&A and capital raising deal management. So you can focus on your deal, not your paperwork
For Boutique Banks
Get the benefits of broker-dealer ownership without the headaches. Work alongside experienced compliance, legal and operational professionals. Centralize workflows, consolidate your tech stack, and create one source of truth.
For Foreign Firms
Compliance chaperoning helps foreign firms seeking access to US capital reduce regulatory communication risks. Finalis provides systems and review processes supporting compliant engagement.
Integrated compliance + deal management
“The broader Finalis community is powerful. Finalis has basically created a collaboration space for individual firms, which gives us the collective power and resources of a much larger institution.”
Discover flexible pricing tailored to your compliance needs and budget.
Frequently asked questions
What broker-dealer compliance services does Finalis provide?
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Finalis' compliance support covers deal review and pre-approval, engagement letter review with AI-assisted flagging, supervision support designed to meet FINRA requirements, and the recordkeeping infrastructure required for an active deal practice. This includes KYC and AML support, due diligence questionnaires, marketing materials review, fee-sharing agreement templates, transaction settlement and payment coordination. These capabilities are built into the Finalis platform and do not require manual coordination with a separate service.
How does deal submission and compliance review work at Finalis?
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When a deal is submitted through the Finalis platform, it enters a structured compliance workflow: the engagement letter is reviewed with AI-assisted tools that flag items needing attention, compliance reviews the transaction for applicable FINRA requirements, and clearance is provided before the deal proceeds. The process is built around the deal lifecycle and documentation and approvals are handled within the platform, not over email.
What does FINRA supervision mean for advisors affiliated with a broker-dealer?
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FINRA requires that broker-dealers supervise the securities activities of their registered representatives. For an affiliated advisor, this means deal submissions are reviewed for compliance with applicable regulations before proceeding, and activity records are maintained and subject to regulatory review. Finalis' supervision framework is designed to support these requirements with minimal disruption to an active deal practice.
What are the compliance obligations of an independent M&A advisor under FINRA?
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Independent M&A advisors conducting most securities transactions, including any capital raising activity, must be registered with FINRA through a broker-dealer, maintain required books and records, submit transactions for compliance review, and operate within a supervision framework. Finalis is designed to support each of these obligations through its platform and compliance infrastructure.
Are there any constraints to BD affiliation that advisors should understand upfront?
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Yes. Affiliation means operating as a registered representative under Finalis Securities, with the supervision requirements that entails. Certain transaction types require compliance review and pre-approval, and your books and records are subject to regulatory review. Transaction-based compensation, including success fees, must also flow through the affiliated broker-dealer rather than be received independently. These requirements exist at every FINRA-registered broker-dealer. Finalis' compliance workflow is structured to make them as lightweight as possible for an active deal practice.
What is the difference between compliance outsourcing and BD affiliation?
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Full broker-dealer affiliation means registering as a representative under Finalis Securities, the appropriate structure for advisors who conduct securities transactions directly. Compliance outsourcing refers to engaging an external compliance function to support an existing broker-dealer's obligations. Finalis works with both structures depending on a firm's regulatory setup and business model.