Does anyone in the IB world have experience in receiving finders-fee compensation for making introductions that led to capital raises?
During a period of unemployment last year, I made a couple of introductions between companies and smaller capital providers (think FOs and SPV-raise places) in exchange for finders-fee agreements. Now I'm back working full-time, and one of those arrangements is coming to fruition, and I'm owed a fairly significant check. There is also one deal currently where I could make an intro and get paid. How do I go about letting compliance know in such a way that I don't trip any alarm bells? Or do I let them know at all?
To be clear, I did not work on these deals full-time, and I do not represent either party involved. I simply made an introduction between the two. It was supposed to be something fairly small that morphed into something fairly large. Also, these deals are generally not deals that my firm would take on - highly speculative capital raises, non-exclusive arrangements, early-stage, industries we don't cover. I don't want to risk my career, but it's a significant amount of money.
Would love to hear advice from anyone out there that has experience with this type of thing. Feel free to DM me if you'd rather chat privately than publicly.
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