Compliance & Regulatory Overview

Regulatory Oversight

Dealmaker operates in conjunction with Kadenwood Capital, a FINRA-registered broker-dealer. This affiliation ensures that all deal-related activities adhere to the strict guidelines set by regulatory authorities, providing a compliant pathway for dealmakers to engage in capital markets, M&A transactions, and structured financings.

Licensing & Credentialing

As part of the Dealmaker program, all participants will obtain the necessary regulatory licenses to legally engage in dealmaking activities. This ensures that every dealmaker is equipped with the proper credentials to structure, market, and close transactions in full compliance with industry regulations.

Legal Representation

Dealmaker operates in conjunction with Kadenwood Group, a FINRA-registered broker-dealer. This affiliation ensures that all deal-related activities adhere to the strict guidelines set by regulatory authorities, providing a compliant pathway for dealmakers to engage in capital markets, M&A transactions, and structured financings.

Letter of Representation

Our Commitment to Compliance

• Adherence to all FINRA and SEC regulations.

• Mandatory licensing for all dealmakers in the program.

• Strict compliance protocols for capital raising, M&A, and structured financing transactions.

• Ongoing legal oversight from a top-tier securities law firm.

By maintaining a strong regulatory foundation, Dealmaker empowers its participants to operate with confidence, ensuring that every transaction meets the highest legal and ethical standards.