We are pioneering the global delivery of the Regulatory Visa (SEC rule 15a-6) for financial firms. Most major institutional markets permit supervised access by unlicensed international firms. Supervised access (broker-dealer chaperone) requires disciplined rules-based disclosures and ongoing monitoring of activity, reporting and data storage in conformance with the needs of regulators in a target market.

In the US, the regulatory visa is referred to as ‘chaperoning’ and is governed by SEC Rule 15a-6. MPS is currently the leading broker-dealer chaperone service in the US markets under SEC 15a-6 rule, enabling dozens of foreign financial firms, not licensed in the US, to distribute investment products to US institutional buyers and investors. Our 15a-6 chaperone solutions offer the most comprehensive and secure tech enabled registration environment for foreign firms to compliantly enter the US markets to solicit institutional buyers of execution services, deal flow and data products.

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