Regulatory
Dealogic certifies institutional investors engaged in the sale or purchase of certain restricted securities. These Certifications are provided to Broker Dealers participating in the sale of new issues. Certifications are made available through a web-based system, called ComplianceManager, as well as through data feeds into account management and deal execution systems.
Dealogic provides the following certifications:
Qualified Institutional Buyers (144A) & Qualified Purchaser Certification
An SEC authorized central repository of registered QIBs participating in 144A transactions and follow-ons, Dealogic offers the industry’s largest database of eligible QIB documentation, as well as a full service of retrieving and updating them as necessary.
FINRA 5131 – IPO Certification
A FINRA-recognized, fully automated certification database of FINRA Rule 5131 Certifications.
Regulation S - Offshore Account Certification
A database of Certifications, renewal & retrieval service for the purposes of Regulation S.
Sophisticated Municipal Market Professional Certification – Municipal Institutional
An online, searchable database of SMMP-eligible investor Certifications complying to MSRB G-17, for the purposes of determining investor suitability for non-recommended municipal transactions.
A Direct Link to Certification Data
Automates and streamlines investor verification by feeding any of the QIB, 5131 or RegS Certification Data directly into client’s internal systems, allowing users in different departments to instantly access Certification data.
Electronic Prospectus Manager (EPM), a digital prospectus delivery and distribution monitoring tool, enables swift delivery of transactional and marketing-related documentation at a fraction of the cost of traditional methods. With fully integrated audit features compliant with both SEC and MSRB regulations, EPM provides a real-time status of digital and hard copy deliveries that meet regulatory reporting guidelines.