Streamline your dealmaking with compliant tech-driven workflows

Free up time to focus on your highest priorities leveraging Finalis’ comprehensive suite of solutions.

Compliant tech-driven workflows

Broker-Dealer Regulatory Affiliation

Finalis offers white-labeled U.S. regulatory broker-dealer affiliations for boutique investment banks, placement agencies and independent investment bankers and brokers who do not own their own broker-dealer entity. We provide Partners with flexible coverage across all 53 U.S. states and territories, and international coverage for foreign broker-dealers seeking access to U.S. investors via 15a-6 chaperoning. Finalis is the last-mile regulatory solution that you need to access the U.S. capital markets. 

Compliance Monitoring

Maintain your regulatory licenses and requirements with Finalis’ compliance solutions

  • Onboarding: Streamline your U4 submission and process your regulatory filings with Finalis’ cloud-based solutions
  • Qualification Exam Sponsorships: Expand your securities-related business by receiving new regulatory licenses. We regularly sponsor our partners for FINRA qualification exams and our partners benefit from Finalis’ exam prep discounts 
  • Continuing Education: Access regulatory and firm element training to keep your licenses in good standing
  • Outside Business Activities & Private Securities Transactions Reporting: Submit and receive approvals for your Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) through our platform
Deal Monitoring & Supervision

Streamlined compliance solutions covering your end-to-end deal lifecycle

  • KYC/AML and Suitability: Background and suitability checks on deal parties, including adverse media, anti-money laundering, politically-exposed persons, bad actor, and sanctions checks
  • Deal Document Processing: Efficient deal document processing that leverages pre-approved templates to reduce turnaround times
  • Marketing Materials: Streamlined review of new marketing communications to ensure regulatory compliance
  • Closing Documents: Meet regulatory compliance obligations with reviews of necessary deal closing documents
Exempt Deal Monitoring

Ensure your deals remain in compliance with applicable federal and state laws and regulations

  • Expert review to determine whether your deal falls under applicable M&A broker activity exemptions or requires broker-dealer affiliation
Regulator & Auditor Monitoring

Keep abreast of the latest regulatory developments and remain in compliance

  • Continuous monitoring of regulatory developments within FINRA, the SEC and U.S. state securities departments
  • Regulatory license monitoring to ensure that affiliated persons remain in continuous compliance
  • Regulatory inquiry monitoring and notification to our respective partners
  • Finalis compliance team attendance at key regulatory events
Deal Rooms

Your secure centralized location for storing and sharing sensitive documents

  • Securely store and share confidential information with internal and external parties with ease
  • Built to industry security standards and with applicable regulatory compliance requirements
  • Create and share folders with your team, clients, potential bidders, and investors safely and with one-click
  • Track visitor and download activity in real time
Transaction Templates*

Access Finalis’ customizable and market-tested transaction templates

  • Execute agreements and engagements quicker by leveraging more than 20 document templates including: Sell-Side and Buy-Side Engagement Letters, Fee Sharing Agreements, Non-Disclosure Agreements, and much more

*Finalis is not a law firm. All materials are provided for informational purposes only and do not constitute or contain legal advice, nor are they intended to by Finalis. 

Deal Document Processing

Win confidence in your dealmaking with deal document processing and execution of Finalis co-signed deal documents

  • Turnaround times that move at the speed of your business 
  • Reduce complexity, workload and legal expenses
  • Leverage DocuSign integration for e-signatures
  • Backed by an experienced legal team

Gain Independence

Whether you’re an established boutique bank or placement agency seeking to maximize your growth, or an independent banker or M&A broker just launching your professional brand, Finalis’ Workflow solution gives you the leverage you need.

Comprehensive Coverage

With a secure single sign-on, access all of your fully integrated broker-dealer dealmaking back office tools.

Learn how Finalis can be
your dealmaking partner

Speak to the team