Investment Banking Due Diligence Forms
Young America Capital requires the following documents before accepting a new investment banking engagement. Your YAC banker will confirm which forms apply to your transaction.
| Form | Completed by | Pages | |
|---|---|---|---|
Engagement Deal MemorandumCompany profile, expected transaction terms, principal investors and financial information, reviewed by YAC Compliance. |
The company | 2 | Open PDF |
Background & Credit Check AuthorizationAuthorizes YAC to obtain background and consumer credit reports as part of client acceptance. |
Each company principal | 1 | Open PDF |
Certification of Beneficial Owner(s)Identifies each owner of 25% or more of the company (10% for non-U.S. companies) and one individual with significant management responsibility. |
Individual opening the account | 2 | Open PDF |
Corporate Authorization ResolutionCertified board resolution naming the officer authorized to sign on the company's behalf. |
Corporate secretary | 1 | Open PDF |
Submitting forms
Completed forms include personal identification numbers and financial information. Do not send them by standard email. Your YAC banker will provide a secure method of delivery.
Why this information is required
As a registered broker-dealer, YAC is required to verify the identity of its clients and their owners under federal anti-money-laundering rules and FINRA Rule 2090 (Know Your Customer).
Young America Capital, LLC is registered with the SEC and MSRB and is a member of FINRA. Submitting these forms does not create an engagement. The terms of any engagement are set out solely in a written agreement signed by both parties. This page is not an offer to sell, or a solicitation of an offer to buy, any security.
Check the background of Young America Capital and its registered representatives on FINRA's BrokerCheck.