Financial And Regulatory Advice

Novex Global Capital offers strategic, advanced, and thorough guidance to a wide range of both local and global regulated financial institutions and financial services companies. This includes banks, non-bank lenders, insurance and securities firms, as well as other financial services intermediaries and their non-financial partners. 

Building on the Firm's prominent practice groups and clientele, such as its Banking and Securitization practice groups, the Financial Services Regulatory and Enforcement Practice provides counsel to financial services institutions and their partners on various aspects of their structure and management, transactions and activities, product innovation, promotion and distribution, and regulatory compliance.

Our team of legal professionals in the Financial Services Regulatory and Enforcement Practice boasts seasoned lawyers who have held high-ranking positions within federal financial institution regulatory bodies. With a wealth of experience and a profound comprehension of the financial services sector, we provide our clients with expert financial guidance. We pride ourselves on delivering top-tier expertise and discernment, enabling us to promptly and adeptly address our clients' requirements and issues. Furthermore, we possess a comprehensive grasp of the various legal and regulatory frameworks impacting our clients' business operations, allowing us to effectively align and navigate these complex systems.


Need advice from an expert?

We welcome you to reach out to us if you have any questions or if you would like to inquire about our services. Our team is here to assist you and provide you with the information you need. Don't hesitate to contact us, as we are more than happy to help.

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Other Services

Loans And Credit Facilities

Restructuring international facilities, both secured and unsecured, as well as facilitating trade-financing transactions.

Project Finance

Customized solutions are provided from the beginning to the end for structuring privatizations, limited recourse, and non-recourse finance transactions.

Aircraft/Asset Finance

Assisting buyers, creditors, lessors, and lessees in funding substantial leasing and financing deals involving aircraft, rolling stock, and other high-value assets.

Financial And Regulatory Advice

Leveraging our network to stay updated on advancements and providing guidance on the real-world impacts of global regulatory shifts.

Securitization And Structured Finance

Providing guidance to funds, sponsors, credit enhancers, and investors in the securitization of diverse asset classes in numerous jurisdictions.

Derivatives And Financial Products

Expertise in negotiating and documenting structured financings driven by derivatives, as well as securing and guaranteeing transactions involving taxable and tax-exempt products.

Venture Capital

Transactions encompass a wide spectrum, spanning from initial seed rounds to later-stage venture rounds that entail the issuance of preferred stock, convertible debt instruments, warrants, as well as secured and unsecured bridge debt.

Private Equity

Structuring and organizing new funds, structuring and executing institutional and management-led buyouts, public-to-privates, follow-on acquisitions, IPOs and trade sales. Areas of expertise include traditional private equity, alternative asset funds (e.g., real estate, infrastructure and oil & gas) and hedge funds.

Joint Venture

Our expertise lies in crafting entity structures that can adapt to various rounds of financing, equity incentives, and rapid growth. With a deep understanding of venture community standards, we are well-equipped to assist companies preparing for venture capital funding.

Global Custody

Providing guidance to global custodians and sub-custodians regarding matters pertaining to secure custody, trade clearance and settlement, income collection, and taxation across over 100 countries. This includes offering advice in compliance with SEC Rules 17f-5 and 17f-7.

Asset Management

Our extensive knowledge and diverse skill set enable us to assist clients in reaching their objectives using a vast range of tactics across all key industries and investment categories via multiple distribution platforms.

Credit Enhancement

We specialize in developing and implementing meticulously designed credit enhancement and focused risk capital products, which offer effective capital solutions for extensive investment ventures. In every instance, the customized structured product is skillfully crafted to efficiently minimize risk and seamlessly integrated into the comprehensive financial framework of the project.

Acquisition Finance/Mergers & Acquisitions

Maximizing the potential of cross-border mergers, acquisitions (asset and equity), leveraged buyouts, restructurings, and other financial endeavors requires a well-structured financing approach.

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