Question 1

Administrative / Facility Agent

Accepted Answer

Kroll specializes in loan administration supporting banks, private equity firms, direct lenders and multinationals. Our Agency and Trustee Services Team utilizes best-in-class technology and personalized consultation to provide clients with unmatched conflict-free expertise across the entire loan lifecycle.

Finance documentation review and negotiation
Access to debt domain for pre and post-closing transactional needs (such as document archiving/sharing with deal parties and running consents)
Administration of funds flows and highly efficient processing of drawdowns and funding notices calculating amounts due under each loan via our loan system, Loan IQ
Payment receipt and fund distribution on each payment date via our loan system, Loan IQ
Management of amendments, consents and waiver processes
Market-leading trade settlement timelines via industry leading software, Clearpar

Question 2

Collateral / Security Agent

Accepted Answer

Kroll provides collateral agent services for a wide range of financing transactions. Our team can enforce collateral when needed to protect creditor interests, offering assurance throughout the process. We support multijurisdictional and cross-border deals with global collateral agent solutions by leveraging our robust global footprint and expertise.

Acting as pledgee holding security on behalf of creditors
Safekeeping of physical collateral
Enforcing security on behalf of creditors
Holding proceeds of enforcement on behalf of creditors
Filing of creditor claims in bankruptcy proceedings
Allocation of distributions according to post-enforcement waterfalls
Distributing enforcement proceeds to lenders
Releasing security on loan repayment or bond financing on direction of creditors

Question 3

Escrow Agent Services

Accepted Answer

Kroll’s investment in technology facilitates an onboarding and account opening experience unlike any other escrow agent in the market. With capabilities to complete KYC and account opening in as little as 24 hours for most transactions, Kroll consistently manages large volumes of payees and complex distributions within a single day, adhering to tight deadlines in complex situations.

Mergers and acquisitions
Capital raising into escrow (private placement, note issuance, bridge/term loans, LP pledges for larger acquisition or instrument purchase – i.e. convertible note)
Litigation
Real asset acquisition and divestiture
Cross-border transactions

Question 4

Paying Agent, Transfer Agent and Registrar

Accepted Answer

Kroll offers comprehensive paying agency services for litigation settlements to fund wind downs to private placements, enabling efficient management of transactions that involve large number of payees or investors and facilitates same-day distributions across diverse asset classes.

Paying Agent
Liaison between the issuer and the payees or investors, ensuring timely and accurate distribution of interest and principal payments. Kroll can facilitate tax withholdings or deductions required by law or the terms of the instrument.

Transfer Agent
Maintain the official record of ownership of the instrument, recording changes in ownership that occur through transfers, assignments or pledges. Facilitate communication between the issuer and the investors, providing notices, statements and reports as needed.

Registrar
Verify the authenticity and validity of the instrument, issuing certificates or book entries to confirm the instrument’s ownership and amount. We prevent unauthorized issuance or duplication of the instrument, safeguarding the interests of both the issuer and the investors.

Question 5

Process Agent

Accepted Answer

Kroll offers process agency services for companies involved in contracts governed by New York or English law that lack a local address. Acting as a process agent, Kroll receives and forwards legal documents and notices on behalf of clients, ensuring compliance with legal requirements for international transactions. By appointing Kroll, overseas funds gain a reliable partner to receive and forward legal documents and notices on their behalf, ensuring seamless process management and regulatory compliance.

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Private Market Agency Solutions

Private Market Solutions