Taylor & Gray Launches a Broker-Dealer Dedicated to Investment Banking Transaction Compliance

Announcing T&G Private Capital LLC

NEW YORK, NY / ACCESSWIRE / May 11, 2018 / Taylor & Gray LLC, a financial services regulatory consulting firm, launched what may be the first ever Broker-Dealer whose primary business is to provide compliance oversight on transactions subject to regulation by FINRA and the SEC. T&G Private Capital is designed to provide a platform in the areas of financial services compliance and due diligence for transactions in Private Placements, M&A and Capital Raising for private fund managers.

“Over the years we have seen a real need for a platform such as this. We are regularly asked by clients how and where they can conduct capital raising activities in conformance with U.S. securities laws and requirements,” said Micah Taylor. “Invariably, each time we referred them to a third party Broker-Dealer, issues arose with regard to fees, business activity conflicts and contractual obligations.”

Distinct from typical Broker-Dealers and prompted by requests for this service from their non-U.S. clients, this unique business model was conceived by its founders Micah Taylor and Clarke Gray and has now been formalized to address these needs domestically as well as internationally.
T&G Private Capital does NOT engage in traditional Broker-Dealer activity. T&G
Private Capital provides transactional compliance integrity for the independent capital finder, M&A investment banker and/or fund manager representative – in the process, diminishing the common capital-raising conflicts that tend to occur among third party entities and their sponsoring U.S. Broker-Dealer. It is an inspired innovation filling an unmet need in the industry.

T&G
Private Capital LLC is a registered U.S. Broker-Dealer that provides compliance
oversight and documentation for private Investment Banking transactions. Company
information can be viewed at www.tgprivatecapital.com.
For more information, please
call Micah Taylor at 212.588.8906 or email mtaylor@tgprivatecapital.com.

SOURCE: T&G Private Capital

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