by Oscar Jofre | Aug 11, 2021 | Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Legal, SEC
By definition, a fiduciary is a person or an organization who holds a legal or ethical relationship of trust with another person or organization. Typically, this has to do with the responsibility or duty in a financial sense. As an adjective, it gets defined by the...
by Oscar Jofre | Aug 9, 2021 | Broker Dealer, Capital Markets, Compliance, FINRA, Legal, Regulation, SEC
Money laundering is a global issue, with the United Nations estimating that between $800 billion and $2 Trillion are laundered each year, with 90% of this estimation remaining undetected. Money laundering is the act of taking money obtained through illegal activities...
by Oscar Jofre | Aug 6, 2021 | Investors
Like warrants, options are a form of security called a derivative. As a derivative’s name suggests, these securities gain their value from an underlying asset. In the case of options, this is the underlying security. There are typically two primary forms of...
by Oscar Jofre | Aug 4, 2021 | Capital Markets, Capital Raising, Compliance, DealRoom
Every way that we do business is changing on what seems a daily basis. In just the last year, we have seen a public health crisis push everyone into their homes to work in the interest of public safety. Along with that change, there was also a change needed in the IT...
by Oscar Jofre | Aug 2, 2021 | KoreConX
When it comes to raising capital for your business, there is some confusion between rules in the United States and Canada. Can Canadian companies file for Regulation A+ like a United States company? Yes, but with some important caveats. The important thing that...
