by Oscar Jofre | Aug 13, 2021 | Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Legal, Regulation, SEC
Previously, we have talked about KYC or Know Your Client. KYC is a rule from the non-profit Financial Industry Regulatory Authority (FINRA), created in the United States in 2007, in response to the growing fears of economic collapse that could come from underregulated...
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 | Jun 28, 2021 | BoardRoom, Broker Dealer, Capital Markets, Compliance, Digital Securities, Investor Relations, Regulation, SEC
With Regulation A+ allowing companies to raise up to $75M USD, the regulation enables many great investors to support an issuer’s journey. From the everyday person to accredited investors, people can claim their stake in companies they foresee to be long-term...
by Oscar Jofre | Apr 16, 2021 | Broker Dealer, Capital Markets, Capital Raising, SEC
When it comes to investments of any kind, due diligence is essential for both issuers and investors alike. Do so what exactly is due diligence? Due diligence is ensuring that a potential investment comes with the accurate disclosure of all offering details. The...
by Oscar Jofre | Apr 7, 2021 | Broker Dealer, Capital Markets, Capital Raising, Compliance, Investor Relations, KoreConX, KorePartner, Regulation, SEC
A while back, one of our favorite start-up clients called me and asked me to speak to a potential investor. Paul Efron, a resident of Arizona, wanted to invest in the company’s Regulation A offering. However, when he went onto the company’s website to invest,...
