Distribution and Due Diligence

Principals of LeGaye Regulatory Support Services have been employed by, and consulted with, a number of broker-dealers on a variety of distribution and structuring matters, including guidance on:

  • Merger and acquisition transactions
  • Investment banking transactions
  • Public and private offerings of securities
  • Selling Group Manager and Placement¬† Agents issues related to REITs, mutual fund and variable annuity products, as well as the placement agent issues for private equity, venture capital and hedge fund interests in private offerings.
  • Due diligence obligations of broker-dealers with respect to private placements, both as a managing dealer and placing agent.