Victoria B. Bantz
- Securities compliance
- Business law
- Tax law
- Estate planning
University of Colorado, J.D., (Tax Certificate) 2004
University of Virginia, B.A. (English, minor Biology) 1997
Tory Bantz practices business, securities, and tax law. She provides guidance on corporate disclosure to the U.S. investor audience and advises clients on accessing and attracting U.S. investors. She represents over forty foreign private issuers with respect to their U.S. securities needs, such as exempt offerings of debt and equity securities under Regulation S, Rule 506 of Regulation D, Rule 144A and qualifying exchange offers in connection with mergers and acquisitions. Tory provides guidance on electronic share eligibility with The Depository Trust Company (DTC) and assists companies with making their shares "DTC-eligible." Tory serves as U.S. counsel to non-U.S. companies with respect to their corporate needs and doing business in the United States. She has an expertise in assisting international and U.S. companies with listings on the premier tier of the Pink Sheets, known as the OTCQX by acting as an Attorney Principal American Liaison (PAL) and Attorney Designated Advisor for Disclosure (DAD). She also advises U.S. and foreign companies in connection with initial listings on the New York Stock Exchange, NYSE Amex and NASDAQ and the required ongoing compliance.
In addition, Tory has a tax background and advises clients with respect to passive foreign investment company (PFIC) tax rules, most often with respect to junior companies with little or no operating revenue. Tory represents businesses and individuals with their tax planning needs, including representation before the IRS and estate planning.
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