Debt Capital Markets Desk
Integrated debt and equity capital market solutions for institutional and wholesale clients.
Caprock’s Capital Markets Desk delivers end-to-end origination, structuring, and distribution services across Debt Capital Markets (DCM) and Equity Capital Markets (ECM). We issue and manage a range of Caprock-originated debt instruments and interests in Caprock-managed investment schemes (MIS), while also conducting wholesale private placements of equity and securities for institutional clients.
Australia serves as our primary execution hub under AFSL 330742, enabling full-service origination and distribution. In the United States, Caprock operates under issuer exemptions for self-issued transactions and partners with licensed investment banks for third-party issuances. In Singapore, the EU, and the UK, we provide advisory-only services, offering strategic counsel and transaction support with no capital-raising activities.
Australia serves as our primary execution hub under AFSL 330742, enabling full-service origination and distribution. In the United States, Caprock operates under issuer exemptions for self-issued transactions and partners with licensed investment banks for third-party issuances. In Singapore, the EU, and the UK, we provide advisory-only services, offering strategic counsel and transaction support with no capital-raising activities.
Debt Capital Markets (DCM)
- Caprock’s Debt Capital Markets Desk originates, structures, and distributes Caprock-issued debt instruments across institutional investor networks. Our DCM services include:
- Caprock-Issued Debt Instruments – Senior secured notes, receivables-backed notes, asset-backed securities (ABS), and short-term notes.
- Sustainability-Labelled Bonds – Aligned with ICMA Green, Social, and Sustainability Principles, providing ESG-compliant capital solutions.
- Managed Investment Schemes (MIS) – Wholesale unregistered or registered MIS structures used for debt issuance, enabling flexible investor participation and portfolio integration.
Equity Capital Markets (ECM)
Our ECM capabilities complement DCM by supporting wholesale clients through equity issuance and private capital transactions. Our ECM services include:
- Wholesale Private Placements – Structuring and execution of ordinary shares, preference shares, hybrids, and convertible instruments.
- Secondary Blocks & PIPEs – Strategic placement of equity blocks and private investment in public equity for institutional investors.
- Advisory-Led Structuring – Pre-issuance readiness, valuation support, and transaction documentation for efficient and compliant equity capital raising.
Jurisdictional Scope
Australia
Full-service execution hub for origination, structuring, and distribution of debt, equity, and MIS instruments under Caprock’s AFSL.
United States
Direct execution under issuer exemptions (Section 4(a)(2) and Regulation D) when Caprock is the issuer. Licensed investment bank partnerships for third-party issuances ensure compliant access to institutional investors.
Singapore / EU / UK
Advisory-only jurisdictions — providing strategic counsel, structuring guidance, and transaction support with no capital raising or solicitation activities permitted.
Our Process:
1. Origination & Structuring
Transaction design, valuation, and readiness assessments tailored to each issuer’s capital and investor requirements.
2. Documentation & Approvals
Preparation of term sheets, Information Memoranda (IM), Private Placement Memoranda (PPM), and regulatory reviews via Caprock’s internal deal committee.
3. Distribution & Bookbuild
Execution through institutional syndicates using ICMA-aligned bookbuilding and allocation protocols to ensure fairness and transparency.
4. Closing & Settlement
Full coordination of settlement, custody, registry, and paying agent operations under ASIC RG 133-compliant frameworks.
5. Post-Issuance Management
Covenant monitoring, performance updates, and investor communications throughout the lifecycle of each issuance.
Why Caprock
Institutional Heritage
Over two decades of experience in global capital markets across Australia, the US, and Asia-Pacific.
Integrated Platform
From Advisory → DCM → ECM → Asset Management, Caprock delivers a unified, technology-enabled capital markets ecosystem.
Regulatory Strength
Full-service under AFSL in Australia, issuer exemption capability in the US, and advisory-only compliance in SG/EU/UK.
Partner With Us
Whether you’re seeking to raise debt or equity capital, or access institutional-grade investment opportunities, Caprock provides a transparent and compliant pathway to market.
Important Information
Caprock’s Capital Markets Desk serves wholesale clients only, as defined under the Corporations Act 2001 (Cth).
- Wholesale tests: Professional investor, large business, or individual wealth test (with a qualified accountant certificate).- No retail distribution.
This information is intended for wholesale clients only and does not constitute an offer or solicitation in any jurisdiction where such would be unlawful. Offers in the United States are made solely under applicable exemptions from registration under the Securities Act of 1933.
This information is intended for wholesale clients only and does not constitute an offer or solicitation in any jurisdiction where such would be unlawful. Offers in the United States are made solely under applicable exemptions from registration under the Securities Act of 1933.