Generis Global

Securities Law
Expertise

Navigate the complex world of capital markets with confidence. Comprehensive regulatory compliance, IPOs, and governance.

Initialize Strategy

$50B+Transaction Value

195Jurisdictions

500+IPOs Assisted

24hrGlobal Response

Core Capabilities

The Legal Matrix.

Regulatory Compliance →

Stay ahead of SEC laws with ongoing updates, training, and risk audits.

Private Offerings →

Full legal support for private placements, PPM drafting, and Reg D.

Public Offerings →

Launch IPOs and direct listings with expert S-1 filings.

Governance →

Optimize corporate governance with board management and bylaws.

M&A Diligence →

Minimize risks with thorough securities transaction due diligence.

SEC Defense →

Defense against SEC investigations, subpoenas, and enforcement actions.

Fund Formation →

Create legal frameworks for VC, PE, and Hedge Funds.

Derivatives & Swaps →

Complex instrument structuring and ISDA agreement negotiation.

Methodology

The Deal Lifecycle.

PHASE_01 // STRATEGY

Structuring & Pre-Deal

We analyze your capital needs, select the optimal vehicle (IPO, Reg D, Reg A+), and structure the equity/debt offering for maximum market appeal.

PHASE_02 // EXECUTION

Drafting & Filing

Our team produces precision disclosure documents (PPMs, S-1s) and handles all regulatory filings with the SEC, FINRA, and state authorities.

PHASE_03 // CLOSING

Transaction Management

We coordinate with underwriters, auditors, and transfer agents to ensure a smooth closing, handling escrow and final subscription agreements.

PHASE_04 // ONGOING

Post-Market Compliance

The work does not stop at funding. We provide ongoing counsel for 10-K/10-Q reporting, shareholder meetings, and insider trading policies.

Infrastructure

Securities Tech Integration

Compliance Scan

AI scans activities for compliance risks in real-time.

Secure Transact

Tamper-proof blockchain records for transaction security.

Auto-Execute

Automate agreements to reduce errors and speed up closing.

Forecast Trends

Forecasts regulatory changes to prepare strategy.

Auto-Filing

Leverage data to produce accurate SEC filings automatically.

Immutable Trail

Creates immutable audit trails for regulatory scrutiny.

Declassified Files

Transaction Archives.

Public Offering $2.4B Tech IPO / Nasdaq

Advised a leading AI infrastructure firm on their initial public offering, navigating complex cross-border IP issues and SEC comments to a successful launch.

M&A Deal $850M Energy Acquisition

Structured the acquisition of a renewable energy portfolio across 12 jurisdictions, managing regulatory approvals and debt financing integration.

Private Equity $150M Series C / Fintech

Represented a payment processor in a complex Series C round involving strategic investors from Asia and Europe, ensuring CFIUS compliance.

Digital Asset $75M Tokenized Bond

Pioneered a regulatory-compliant security token offering (STO) for a real estate fund, utilizing blockchain for instant settlement.

Jurisdiction Command

Global Compliance Grid.

Seamless execution across key financial centers.

United States SEC/CFTC

United Kingdom FCA/PRA

European Union ESMA

Singapore MAS

Hong Kong SFC

Canada CSA

Australia ASIC

UAE / Dubai DFSA/ADGM

Intelligence

Securities FAQ

What triggers a public filing?

Generally, offering securities to non-accredited investors or listing on a public exchange triggers SEC registration requirements (Form S-1).

What is Regulation D?

Reg D provides exemptions that allow companies to raise capital from accredited investors without a full public registration, saving time and cost.

How do you handle crypto assets?

We apply the "Howey Test" framework to determine if a digital asset is a security and structure compliance accordingly under existing securities laws.

Do you handle international issuers?

Yes. We specialize in Regulation S offerings for offshore investors and cross-border listings (ADRs) for foreign companies entering US markets.

Master the Market.

Partner with Generis Global for expert, efficient solutions tailored to your financial goals.

Get Started