Accordingly, designated member firms or professionals are able to act as sponsors, as nominated advisors, as approved or authorized persons and as broker dealers. With these licenses and approvals, we undertake a range of capital markets regulatory and sponsor roles in support of our firms’ clients’ transactions.
Our capital markets role may involve:
- tendering a fairness opinion in a public document filed with the regulator
- acting as offering agent in a public merger, takeover or take private deal
- providing a related parties opinion in a filed public document
- acting as sponsor, nominated advisor or listing agent in an initial or secondary offering.
Typically, a KPMG member firm undertakes capital markets regulatory and sponsor roles as part of a broader financial advisor engagement. But we will also perform these roles alongside a client’s retained financial advisor. For example, where additional objectivity or independence is required or where a client or its retained financial advisor seeks additional advisory assurance in a transaction, KPMG can satisfy that requirement or to provide the relevant assurance as part of a wider team.