Corporate finance and capital raising licensing requirements

Who this is for

• - Corporate finance advisers
• - Placement agents
• - Capital raising consultants
• - Private markets advisers

Trigger questions

• - Is anyone advising on securities, arranging a transaction, or placing securities?
• - Is compensation linked to a successful raise, deal, subscription, or transaction?
• - Are investors professional-only, public, retail, accredited, institutional, or wholesale?

Common mistakes

• - Treating capital raising as consulting while receiving transaction-linked fees.
• - Forgetting investor classification, financial promotion, and broker-dealer questions.

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