Firm Update: November 2022

Welcome to our November Broker – Dealer Newsletter.

Historically, the last two months of the year have been the most active deal months on the GT Securities platform, and the last two months of 2021 were the highest two transaction volume months in the history of our investment banking market sector. So let’s hope and plan that November and December 2022 will follow suit for us all!  

In this month’s newsletter, I encourage watching the recording of our platform best practices “refresher” webinar held on October 28th.  

Michelle Mueller will then share compliance updates and Zaya Bold will for banker collaboration, and Mimi Frey will do so for accounting and billing.  

To all of our success,

Jay Turo
Managing Director
GT Securities, Inc.

Platform Best Practice Webinar Webinar

On October 28th, our broker-dealer team hosted a “refresher” webinar on the various Deal Making, Compliance, Mandates & Firm Resources, Accounting & Billings best practices on our platform.  A recording of the webinar can be accessed via this link and / or by clicking the image below.   It is an information rich 30 minutes, with succinct presentations on: 

  • Where deal activity is most robust on the platform right now
  • How to fast track deal approvals and engagement letter /  NDA edits / redlines
  • Use of our industry best-in-class new compliance software platform My Compliance Office (MCO)
  • Compliance – approved social media protocols
  • A “flash” primer on Outside Business Activities (OBAs) and Private Securities Transactions (PSTs)
  • A link to our Banker Survey (which we encourage all to complete / update)
  • A quick presentation on the research and business intelligence databases available on the platform, including PitchBook, CapitalIQ, Family Office Club Database, IBIS World, Statista, & Hoovers
  • How more than a dozen GTS bankers right now are utilizing our analyst and associate support resource partner Evalueserve to save time, increase client value-add, and accelerate dea-making
  • Details on “Pay-as-you-go” meeting and conference rooms access and availability via WeWork and Regus
  • How to have invoices prepared, and deals monies released, quickly and easily via our billing forms system
  • And much more!

Click the Image Below to View the Webinar Recording

Compliance Updates

Annual Compliance Meeting Save the Date! The Firm’s Annual Compliance Meeting will be held via web conference on Thursday, December 8th from 12 pm PT – 2 pm PT. 

Michelle Mueller, Chief Compliance Officer

Affiliate Updates & Services 

Webinars. We hosted two exciting webinars in October. If you missed them, please view the recordings here:

  • Introduction to Evalueserve. GT Securities and Evalueserve team hosted an interactive session on banker best practices to utilize Evalueserve’s associate and analyst support teams and research and data resources. The webinar recording can be viewed here
  • GT Securities – Platform Best Practices and Idea Sharing. Per Jay’s note above, on Friday, October 28th GT Securities Broker-Dealer team provided a refresher on the compliance, collaboration, communication, finance, and accounting protocols and best practices on our platform.  The webinar recording can be viewed here

Professional Development. The Institute for Mergers, Acquisitions & Alliances (IMAA) is a global think tank for M&A professionals with over 2500 charterholders in 70 countries representing 1500 companies.  They offer a variety of M&A related certifications for experienced professionals and we are thrilled to offer GT Securities affiliates a 20% exclusive member discount off their certification programs. 

Please see the M&A Program directory HERE and reach out to me for more information and registration details. 

Investor/Buyer Highlight. Dallas, Texas based privately-owned specialty lender offering funding solutions for businesses in the small to mid-sized middle market sector providing working capital loans from $250K to $20mil secured by AR, Inventory, Machinery & Equipment and Owner Occupied Real Estate. If you are interested to learn more and have deals within their criteria please let us know. 

Deals. We receive many deal opportunities from our affiliate bankers and external partners, and upon assessing them, we share select deals with our affiliate network. 

Zaya Bold, Director of Banking Partnerships 

Happy November to all!

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