Private Placement Trading

By Invitation Only

Unique investment opportunities available to a select few.

Overview

Qualification

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Overview

Also know as a Secured Asset Investment Program or High Yield Investment Program, the Private Placement Program (PPP) is a financing vehicle used by a select few high-net-worth individuals and corporations for major project developments and humanitarian initiatives. These types of financing programs usually involve trading discounted bank instruments, within the wholesale banking market, such as:

  • Medium Term Notes (MTNs)
  • Bank Guarantees (BGs)
  • Stand-By Letters of Credit (SBLCs)
  • Secure deposits (via Certificate of Deposits)

Due to the leverage, trading frequency and compounding effect, such programs often produce high yields. Performing programs are difficult to find and are not always available. Through our global network, we can facilitate such programs in direct cooperation with platform program managers, traders and providers.

Qualification

To participate in a Private Placement Program, clients must first be qualified. The qualification process requires ultimate acceptance of the client by the trading platform and associated bank. Face-to-face interviews between the client and program manager are recommended, but not necessary. The following list presents the basic requirements for entering a program:

  1. Applicant must own the funds and be sole signatory on the bank account – or be duly appointed by corporate resolution to handle the transaction on behalf of the owner corporation or trust
  2. The funds must be unencumbered, freely transferable and on deposit in an acceptable bank
  3. Applicant must understand that the program and is “by invitation only” and is based upon approval of complete compliance package as detailed below
Compliance Package

Non-solicitation rules dictate that the prospective client must always take the initial step by assembling and submitting a complete package of required documents as listed below:

  1. LETTER OF REQUEST FOR SERVICES
  2. CLIENT INFORMATION SHEET (CIS)
  3. LETTER OF EXCLUSIVITY
  4. LETTER OF INTENT (LOI)
  5. LETTER OF CEASE & DESIST CONFIRMATION
  6. LETTER OF NON-SOLICITATION (CNDA)
  7. LETTER OF AUTHORIZATION TO VERIFY FUNDS
  8. CORPORATE RESOLUTION – (if applicant is a company)
  9. CURRENT BANK PROOF OF FUNDS – bank statement or tear sheet (not more than 5 days old)
  10. COPY OF PASSPORT OF SIGNATORY PRINCIPAL – high-resolution color copy
  11. SUMMARY OF PROJECTS – to be funded from the transaction (if any)
Approval to Trade

Once the client is officially approved for participation in a program, they will be presented with program options, the terms, conditions and procedures of which will be disclosed. Contractual documentation will be prepared and executed by the respective parties.

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