Marco Polo Exchange

What's the better option: setting up your own US broker-dealer or working with a chaperone? This is the question for foreign financial firms looking to engage in transactions, fundraising, and research distribution in the United States. Our blog post outlines the pros and cons for both of these options. https://lnkd.in/e_aQXPXb Talk to Marco Polo if you're interested in exploring further! #brokerdealer #15a6chaperone #regtech #securitiesregulations

Are you required to register as a broker-dealer? It depends. In this blog post, we explain the 3 exemptions to broker-dealer registration: the Issuer, M&A broker and 15a-6 Chaperone exemptions. Read the full blog post here! https://lnkd.in/eUU55pTt #BrokerDealer #SEC #SecuritiesRegulation #Finance #Compliance #MergersAndAcquisitions #ForeignBrokerDealers #MPX #RegTech #15a6 #USCapitalMarkets

Broker-dealer registration in the US can be daunting. Our latest blog post provides a step-by-step guide to help you understand the process, requirements, and benefits of becoming a registered broker-dealer. ?? Learn about the essential functions and services of broker-dealers. ?? Discover who needs to be registered and the regulatory requirements involved. ?? Explore how foreign institutions can leverage SEC Rule 15a-6 to access US markets without full registration. At Marco Polo Exchange (MPX), we streamline compliance through our innovative MPX Passport platform, providing regulatory and back-office solutions for foreign financial institutions. ?? Read the full blog post here: https://lnkd.in/ektE3qd3 #BrokerDealer #SECRegulations #FINRACompliance #USCapitalMarkets #FinancialServices #InvestmentBanking #RegTech #CrossBorderFinance #MPXPassport #SECRule15a6

???? ???? For CIRO members, understanding SEC Rule 15a-6 is essential to engage U.S. clients efficiently and securely. Our latest blog post dives into the key provisions of SEC Rule 15a-6, its implications for Canadian financial institutions, and how MPX Passport simplifies compliance for firms chaperoned by Marco Polo Securities Inc., the broker-dealer affiliate of MPX. ?? Key Insights: -Overview of SEC Rule 15a-6 and its requirements. -How MPX Passport streamlines compliance. -Solutions for overcoming regulatory hurdles and expanding into U.S. markets. Discover how MPX Passport can help your firm maintain compliance while focusing on growing your business with US investors ?? Read the full post on our website for more! https://lnkd.in/eCRk_nms #CrossBorderFinance #RegulatoryCompliance #SEC #CIRO #MPXPassport #FinancialServices #USMarket #MPX #MarcoPoloExchange #secrule15a6 #15a6

???? ???? For CIRO members, understanding SEC Rule 15a-6 is essential to engage U.S. clients efficiently and securely. Our latest blog post dives into the key provisions of SEC Rule 15a-6, its implications for Canadian financial institutions, and how MPX Passport simplifies compliance for firms chaperoned by Marco Polo Securities Inc., the broker-dealer affiliate of MPX. ?? Key Insights: -Overview of SEC Rule 15a-6 and its requirements. -How MPX Passport streamlines compliance. -Solutions for overcoming regulatory hurdles and expanding into U.S. markets. Discover how MPX Passport can help your firm maintain compliance while focusing on growing your business with US investors ?? Read the full post on our website for more! #CrossBorderFinance #RegulatoryCompliance #SEC #CIRO #MPXPassport #FinancialServices #USMarket #MPX #MarcoPoloExchange #secrule15a6 #15a6

???? ?????The U.S. buy-side is a significant source of foreign capital for Canadian issuers. Understanding SEC Rule 15a-6 is crucial for Canadian EMDs aiming to expand into the U.S. market. This rule allows foreign broker-dealers to engage with U.S. investors without full SEC registration. ?? Marco Polo Exchange offers 15a-6 chaperoning services through our reg tech platform, Passport?. Track your U.S. marketing activities in real-time, ensure compliance, and gain valuable insights with our comprehensive management dashboards. ?? Learn more about how SEC Rule 15a-6 can benefit your business and how Passport? can streamline your compliance and marketing efforts. Expand confidently into the U.S. market with Marco Polo Exchange. Read the full blog post here: https://lnkd.in/e8RRkPVA #CanadianEMDs #SECRule15a6 #MarcoPoloExchange #PassportPlatform #Compliance #USMarketExpansion #RegTech #exemptmarketdealer

???We have just published a blog post titled Demystifying SEC Rule 15a-6: What You Need to Know About Chaperoning Services:?https://lnkd.in/efVP7r7R ???You will learn about the SEC Rule 15a-6, what is 15a-6 chaperone, key responsibilities of 15a6 chaperone, regulatory aspects, exemptions and many more. ???Do not miss out: it is a very important rule allowing non-US broker-dealers and other FFIs to conduct business with the US institutional Investors. ???We will be publishing more posts soon. Let us know what topics you would like us to cover! #Chaperoning #SEC #RegTech #Regulation #BrokerDealer #InstitutionalInvestors #15a6 #CapitalMarkets #RegulatoryCompliance #Finance #MPXPassport #15a6Chaperpone