The Avior Service Offering
Soliciting securities business in the US is subject to FINRA regulation. Foreign Brokers are required to register with the Securities and Exchange Commission (the “SEC”) should they want to provide brokerage, distribute research or any other financial services in the US. Avior Capital Markets US LLC is allowed to act as a “Chaperone”, through this exception, to Foreign Broker Dealers (FBDs).
Research
As a Foreign Broker, partnering with Avior will allow you to distribute research to Institutional US Investors without registering as a Broker-Dealer in the US. We will assist you to create fit-for-purpose research to distribute to our existing base of US Institutions. Avior has a reputation for providing high quality research to our clients. We have over the years developed a proprietary research portal for Investors to access research. As a Foreign Broker-Dealer you will gain access to our MIFID II compliant processes and the Research Portal platform to distribute research under your own name and brand.
Corporate Broking
Through our experienced Corporate Broking team, you will be able to have Direct access to and engage with major US Institutional Investors. The Avior team can set up and facilitate meetings, roadshows, conferences and calls on your behalf and handle all the relevant logistics thereof.
Compliance
Avior will assist to build US compliance into our Partner-Broker’s processes and product, through training and software licensing. We will facilitate the onboarding of Institutional users and their users using a project management and tracking system for logging and tracking of all changes.
FINRA interactions will also be facilitated.
Sales & Trading
Through an exemption provided by SEC Rule 15a-6, partnering with Avior will allow you, as a Foreign Broker Dealer (FBD), to accept orders for foreign securities from US Investors.
Avior has trading points in South Africa through Avior Capital Markets (Pty) Ltd and London, England through Avior Capital Markets International. We have a highly experienced and well-respected trading team with a proven track record in servicing large global institutional fund managers with MIFID II compliant process and capabilities.
Technology
Avior has spent time to develop proprietary software systems to facilitate the distribution of research as well as managing customer relationships. Through the platforms we can manage Institution and Client profiles, log interactions and provide statistics on readership and engagement for MIFID reporting purposes.
By using our research distributions platform, we can ensure that your research is only seen by its intended recipient through access-controlled webpages. Your clients can access research in a mobile-friendly format or through applications made available through the Google Play and Apple Store.
