Chaperoning

Chaperoning Services

Since our establishment in 2007, Pickwick has become practiced in navigating the intricate US securities regulatory landscape, and has a deep understanding of SEC Rule 15a-6 of the Securities Exchange Act of 1934. The firm has developed specialized expertise in chaperoning services tailored for foreign broker-dealers aiming to engage in private placements and M & A transactions with Major U.S. Institutional Investors and counterparties under Rule 15a-6.

At the core of Pickwick's capabilities lies an experienced team with the ability to skillfully coordinate regulatory compliance requirements while chaperoning distribution of investment products from non-U.S. Broker Dealers to U.S. institutional buyers and investors. Pickwick also offers electronic onboarding procedures, streamlining the chaperoning client’s experience.

Pickwick's commitment extends beyond regulatory navigation and electronic efficiency. The company actively participates broadly in private placements and mergers and acquisitions activities involving U.S. institutional investors and counterparties and can provide invaluable assistance in understanding the strategic landscape. Our holistic approach acknowledges the unique needs of each chaperoning client and seamlessly marries regulatory compliance with the cultivation of robust industry relationships.

As a reliable partner in the financial services industry, Pickwick guides our chaperoning clients through the intricacies of U.S. state and federal securities regulations, ensuring they not only navigate these complex regulations successfully but also operate effectively within the U.S. markets.