As a business owner or corporate executive, you may have professional responsibilities to your business or firm as well as personal financial interests. Both are subject to regulatory complexities and may be challenging to fulfill.
From exit strategies to equity compensation to share programs, you have choices unique to your situation. At RBC Wealth Management, our complex wealth planning strategies and knowledge of administration, compliance and regulations can help you make the most of your opportunities.
Our corporate and executive services include an array of high-level advisory services, long-term wealth planning strategies and investment options.
Succession and exit planning solutions
Transfer your private company to family members, current management or an outside party. We’ll guide you through creating an exit strategy for your business.
Exit planning covers your goals and objectives in terms of company value, employees and market position, as well as personal aspects such as your family and the community.
Investment banking services
Raise the capital your business needs. We can help you with equity and debt underwriting, initial public offerings (IPOs), follow-on offerings, private placements, private investment in public equities and lending tailored to your unique needs. We also offer merger and acquisition advisory services.
Equity compensation administration
Simplify your employee ownership. With RBC Wealth Management, you have access to full-service, real-time stock plan administration and a fully staffed and experienced dedicated trading desk.
Our secure online platform offers you the flexibility to accommodate various types of options, accounts, transactions and delivery methods to your employees. We can also help make sure your administration is globally compliant.
Affiliated trading programs
Know you’re following the rules. RBC Wealth Management can help you design and execute pre-arranged trading plans under SEC Rule 10b5-1, permitting sales and purchases during company-imposed blackouts.
Our services include monitoring and performing trades, filing Rule 144 paperwork and reporting transaction details back to the issuer for filing purposes.
Restricted stock transactions
Planning to liquidate restricted or control stock positions? We’ll help you do so safely by confirming all open-market transactions fully comply with Rule 144, including services to help insiders and affiliates make sure their transactions meet SEC guidelines.