Operating a business in the financial services industry requires raising and maintaining sufficient capital to comply with minimum regulatory requirements. During the past several years, these requirements have become more onerous for clients seeking to form new entities as well as those that are focused upon significant growth and expansion opportunities. Baker Donelson's team members are well-versed in both banking and securities laws, and we help our clients navigate the complex requirements of both sets of laws in raising capital.
Some examples of the capital-raising services we provide for clients in the financial services industry include:
- Counseling clients on minimum capital regulatory requirements and working with clients to develop capital structures and transaction documents, plus offering procedures that comply with both banking and securities laws.
- Providing securities advice to clients seeking to raise capital for corporate needs, including evaluating various types of debt and equity instruments to meet those needs.
- Working with clients to structure capital-raises in conjunction with various types of corporate and regulatory events, such as acquisition opportunities, redemptions of securities from existing investors, and raising capital in response to regulatory enforcement actions.
- Helping clients with initial public offerings (IPOs) for those businesses whose strategy is to become a public company, and helping clients with going-private transactions for those whose strategy is to cease being a public company.
Related Services
In addition to assisting clients in the financial services industry with raising capital, our team provides Regulatory and Compliance Services, Corporate Services, and Merger and Acquisition Services.
For more information about Baker Donelson's experience and attorneys who advise clients on all aspects of securities law, including raising capital, please refer to the description of our Securities and Corporate Governance practice group.