US specific – How do non-IB M&A professionals deal with regulatory hurdles

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    Chuck Adams

    Hi everyone, this is a specific United States thread, though I’m open to any answers.
    I’m part of a small consultancy that helps advise on the buy-side for PE firms and strategic buyers in the industrial markets. While expanding into the “sell-side” is attractive, we’ve held back due to SEC/FINRA regulator issues around investment banking.

    For those doing sell-side M&A work, not inside an investment banking arm, how have you navigated this detail? (Not looking for legal advice obviously, just curious what others do out there)

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