by Oscar Jofre | Nov 2, 2017 | KoreConX
Are you spending too much time on compliance and getting frustrated with all the paperwork? Compliance Officers have to deal with compliance and regulatory issues on a daily basis, but it does not have to be a burden or paper shuffling affair. The smart Compliance...
by Oscar Jofre | Sep 12, 2017 | KoreConX
Regulators are paying increasing attention to firms’ compliance structures to ensure there is a system of control and supervision in accordance with securities rules and regulations. The system should include internal procedures to detect non-compliance and contain...
by Oscar Jofre | Jul 3, 2017 | CapTable, Investor Relations, KoreConX, Transfer Agent
Just raised money via crowdfunding? Have you raised money traditionally several times and have lots of shareholders to manage? So, what is the best way to manage all your shareholders? Managing one’s shareholders via equity crowdfunding is something that gets raised a...
by Oscar Jofre | Jun 3, 2017 | KoreConX
All too often, the responsibility of a company raising capital is left in the hands of a few people…and that weighs on them, affecting everyone. The majority of the team is left out of the process, carrying on day to day operations without input into where the company...
by Oscar Jofre | May 23, 2017 | KoreConX
Advisors have a duty to act fairly, honestly and in good faith with clients. To meet these obligations, they must know their clients, understand the products they sell them and ensure investments are suitable. KNOW YOUR CLIENT (KYC) Having clients complete a basic KYC...
