Over the past 40 years, investment banks, financial institutions and professional services firms have used employees’ securities companies (ESCs) as a means of allowing senior employees of the employer (the “applicant”) to participate in certain investment opportunities.

Investment vehicles established pursuant to an ESC order facilitate investments by the applicant or its affiliates and certain of the applicant’s employees (individually and indirectly through certain controlled entities) and such employees’ immediate family members.

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