Institutional Sales & Trading

Practice Area

Institutional Sales & Trading at Strattners Bank SA

At Strattners Bank SA, our Institutional Sales & Trading team is dedicated to delivering efficient, transparent, and market-leading services to institutional investors. With a deep understanding of market dynamics, we help investors navigate complex transactions while ensuring full regulatory compliance and fostering long-term liquidity.

Market Liquidity & Execution

Our team is skilled at executing block trades and managing secondary market activity, helping institutions trade large volumes of securities efficiently while maintaining market stability. By leveraging our extensive network and trading expertise, we ensure that your transactions are executed at competitive prices with minimal impact on market volatility.

Institutional Investor Engagement

We build and maintain strong relationships with a broad spectrum of institutional investors. Our team helps connect issuers with investors who are looking for high-quality investment opportunities. Through non-deal roadshows and investor discussions, we promote clear and transparent communication, ensuring investors are well-informed about the issuers’ market position and long-term prospects.

Market Insights & Analysis

We provide institutional clients with actionable market insights, helping to inform investment decisions based on a deep understanding of the markets. Our liquidity insights and execution strategies allow clients to make well-informed decisions while managing risk in volatile market conditions.

Regulatory Compliance

At Strattners Bank SA, we take our regulatory responsibilities seriously. We ensure that all of our Institutional Sales & Trading activities comply with key SEC regulations, including:

  • Regulation M: We operate in full compliance with Regulation M, which ensures that no market manipulation occurs during offering activities or secondary market transactions.
  • Rule 10b-5: We adhere to Rule 10b-5, which prohibits fraudulent practices in connection with the sale of securities, ensuring all communications are truthful and transparent.
  • Section 17(b) of the Securities Act: We comply with Section 17(b) to prevent misleading promotional activities and ensure that all investor communications are clear and accurate.
  • Regulation S: We follow Regulation S for offerings and transactions conducted outside the U.S., ensuring that offshore activities meet the appropriate regulatory requirements.

The Process

1. Initial Consultation

  • The brokerage conducts an initial assessment to determine client eligibility, investment objectives, and regulatory requirements.

2. Legal Strategy and Services

Our team evaluates your company’s financials, market position, and share structure to ensure it meets our criteria for equity financing. Key factors include being publicly traded and possessing sufficient liquidity potential.

3. Securities Compliance

Our compliance team conducts a thorough review to ensure the transaction meets all regulatory standards and aligns with our commitment to ethical practices.

4. Agreement

  • Upon approval, the client receives an onboarding package containing:

    • Brokerage account agreement

    • Trading terms and conditions

    • Fee schedules and margin agreements (if applicable)

5. Final Approval and Execution

Upon approval, we finalize the agreement and execute the agreement, providing you with the capital needed to achieve your goals seamlessly.

Contact us to start the qualification process and unlock new financial opportunities with Strattners Bank.

Free Consultation

Law is a complex matter that can lead to significant problems if

disregarded. Allow us to assist you!

  • +971548887091
  • info@strattners.com
  • Mon - Fri 9.00-18.00
  • Conrad Tower, Sheikh Zayed Road, Dubai