Investment Banking

Pasadena, CA


Managing Broker-Dealer

Laguna Niguel, CA


Regulatory Compliance & Operations

Regulatory compliance and operations is the cornerstone of your relationship with your managing broker-dealer.  Working in the highly regulated securities industry involves complexities completely foreign to many new investment product sponsors.  As your managing broker-dealer, we provide the framework and structure to successfully navigate the intricacies of our industry.  As we have seen in the past, successful compliance can make the difference between being a highly successful product sponsor or out of the business.

As your managing broker-dealer we efficiently handle all aspects of regulatory and ongoing compliance.  We know the regulators and frequently attend FINRA compliance meetings to keep up to date on this constantly changing aspect of our business.

As your managing broker-dealer, we start with your offering document. Does your private placement memorandum, offering circular, or prospectus adequately and accurately disclose the risks of the investment to potential investors? Is your message and business plan clearly articulated in the document itself? If it is not in the offering document, you will be limited in what can be stated in marketing materials. Taking care now can save time and attorney fees later.

We understand that compliance can be known as the “no” department as that can often be the answer when inexperienced compliance officers are asked about marketing initiatives. And oftentimes what does emerge from the compliance department review is unrecognizable and unusable as marketing materials. We get it. As your managing broker-dealer, we have years of experience and understand what terminology works well and what does not. Instead of “no”, you will hear “how about we try this?” and what emerges is marketing material which still delivers the message but has a higher likelihood of passing FINRA advertising review.

FINRA has very specific rules that must be followed in order to maintain compliance as a broker-dealer. The rules are detailed and must be followed with precision. As your managing broker-dealer, we provide services to oversee all aspects of the process, including:

  • Licensing of all sales staff, including onboarding and initial training.
  • Supervision of all sales activity including email surveillance, review of correspondence, marketing material, and processing of investment information.
  • Maintenance of Written Supervisory Procedures and all other FINRA required materials.
  • Regulatory Element tracking and ongoing training of licensed representatives.
  • On-site assistance for any regulatory examinations.
  • Review of all marketing materials for compliance with rules and regulations.
  • Review of all subscription documents for compliance issues.
  • Oversight of Blue Sky filings (additional fees may apply).
  • Establish procedures for accepting transactions from non-affiliated IAR’s.

One aspect of operations that can be most cumbersome is establishing relationships with the clearing firms and qualified account custodians. The requirements and paperwork can be complex and vary greatly among the providers. As your managing broker-dealer, we are familiar with the firms, their costs, and their core competencies and can help establish relationships on your behalf.

Operational aspects are often overlooked. Selling group members each have their own way of doing things and it is important to know how best to work with them. We have years of experience working with broker-dealers and registered investment advisors throughout the U.S. They look for ease of use and timeliness of payment. If commissions are paid slowly, issues arise frequently, or difficulties are slow to resolve, selling group members will find more desirable business partners. As your managing broker-dealer, we understand that financial advisors are not paid by the hour to fix problems and do everything in our power to resolve. Our goal is to make sales of the programs of our investment product sponsors their first choice, by providing a well-crafted product, delivered with premium service.

  • Signing and logging of all Soliciting Dealer Agreements.
  • Commission tracking and distribution, for both the wholesalers and the selling group.
  • Maintenance of syndication book.
  • Resolution of operational issues.

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JCC Capital Markets
30012 Ivy Glenn Drive, Suite 180A
Laguna Niguel, CA 92677

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  • (949) 485-1209
  • (888) 249-1038

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About Us

Built on a solid foundation of investment banking and management consulting, JCC Capital Markets, LLC has become a leader in managing broker-dealer services, providing quality investment opportunities to the financial planning marketplace. As a managing broker-dealer, we have the proven ability to find exceptional product sponsors and provide the necessary expertise and guidance to craft investment structures that deliver investor protections, industry leading innovations and solid investment strategies.

NO OFFER OR SOLICITATION: The contents of this website: (i) do not constitute an offer of securities or a solicitation of an offer to buy of securities, and (ii) may not be relied upon in making an investment decision related to any investment offering. Investment offerings and investment decisions may only be made on the basis of a confidential offering document. JCC does not warrant the accuracy or completeness of the information contained herein.

Investments in any security are not suitable for all investors. Investments in securities involve a high degree of risk and should only be considered by investors who can withstand the loss of their investment. Prospective investors should carefully review the “Risk Factors” section of any private placement memorandum. Investors should perform their own investigations before considering any investment and consult with their own legal and tax advisors.

Prior performance is not indicative of future results.

Neither the Securities and Exchange Commission nor any state securities regulator has passed on or endorsed the merits of this offering. Any representation to the contrary is unlawful.

Securities transactions made through JCC Capital Markets, LLC. a member of the Financial Industry Regulatory Authority (FINRA). Check the background of this investment professional on FINRA’s BrokerCheck.

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