PPPs Explained. 2019

EXPLANATION OF PRIVATE PLACEMENT PROGRAMS

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EXPLANATION OF PRIVATE PLACEMENT PROGRAMS Ultra High-Net-Worth client !ill "etter #n$ertan$ the reaon an$ o%er%ie! o& the o'eration in a 'ri%ate 'lace(ent 'rogra( o& tra$ing. Thi i NOT an o&&er to ell or olicit) It i &or in&or(ational '#r'oe onl*.

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E+,LANATION OF ,RIATE ,LACEENT ,ROGRAS

............................................................................................................. ............................................................................. ................... 3 INTRODUCTION ................................................... ............................................................................................................. ............................................................................................. ................................. 3 TOPICS ................................................. ....................................................................................................... ..................................................... 3 THE BASIC REASONS FOR PPOPs .................................................. .................................................................................... ............................... 5 NORMAL TRADING vs. PRIVATE PLACEMENT..................................................... .................................................................................................................... .............................................................. 8 PROGRAM STRUCTURE ........................................................

NON-SOLICITATION AND NON-DISCLOSURE ..................................................................................... 9 HOW BANKS AND BROKERS CAN PROFIT  .......................................................................................... 9 ......................................................................................................... ........................................................................................... ............................... 10 PROJECTS ............................................. ............................................................................................................. ...................................................................... .......... 10 PROCESS SUMMARY .................................................

ANALYSIS OF RISK INVOLVED IN PPOP CONTRACTS  ........................................................................ 11 ................................................................................................................. ....................................................................................... ........................... 15 SCAMS .....................................................

USE OF LAWYERS FOR ADVICE AND GUIDANCE .............................................................................. 16 .................................................................................................................... .......................................................................... .............. 17 CONCLUSION ........................................................

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INTRODUCTION

Thi $oc#(ent e/'lain o(e o& the o"c#re or #nclear a'ect o& ,ri%ate ,lace(ent O''ort#nit* ,rogra( 0,,O,1. ,,O, are alo 2no!n #n$er other na(e3 #ch a ,ri%ate ,lace(ent ,rogra( 0,,,1 or ,ri%ate ,lace(ent In%et(ent ,rogra( 0,,I,1. Thi t#$* i the re#lt o& e%eral *ear o& e/'ert 'eronal e/'erience an$ teti(on*3 an$ i e/'laine$ &ro( the %ie!'oint o& "oth an client an$ a "ro2er.

TOPICS

Be&ore tac2ling the to'ic o& o& ,ri%ate ,lace(ent O''ort#nit* ,rogra(3 ,rogra(3 it i i('ortant to $ic# the "aic reaon &or the e/itence o& thi "#ine. Thi $ic#ion incl#$e the "aic conce't o& !hat (one* i an$ ho! it i create$3 controlling the $e(an$ &or (one* an$ cre$it3 an$ the 'roce o& i#ing a $e"t note3 $ico#nting the note3 an$ elling an$ reelling the note in ar"itrage tranaction.

THE BASIC REASONS FOR PPOPS

ONE4 CREATION Firt an$ &ore(ot3 ,,O, e/it to 5create6 5create6 (one*. one* i create$ "* creating $e"t. For e/a('le) 4o# a an in$i%i$#al can can agree to loan 7899 to a &rien$3 !ith the #n$ertan$ing that the interet &or the loan !ill "e 89:3 re#lting in a total to "e re'ai$ o& 7889. What *o# ha%e $one i to act#all* create 7893 e%en tho#gh *o# $on;t ee that (one* initiall*. Don;t coni$er the legal a'ect o& #ch an agree(ent3