by Oscar Jofre | Jul 17, 2024 | Broker-dealers, Issuers
Understanding the complexities of SEC compliance can be challenging for many businesses. With recent updates to cybersecurity disclosure requirements, staying informed is more critical than ever. In this article, written by Laura Anthony of the SecuritiesLaw Blog, we...
by Oscar Jofre | May 8, 2024 | Broker-dealers, Investors, Issuers
The landscape of private capital markets is evolving more rapidly than ever. Innovative technologies, shifting regulatory frameworks, and changing investor behaviors are reshaping how companies raise capital, how investors allocate resources, and how broker-dealers...
by Oscar Jofre | Apr 29, 2024 | Broker-dealers, Issuers, Legal
Companies seeking innovative funding options beyond traditional bank loans or venture capital investments. Regulation A (RegA+), Regulation Crowdfunding (RegCF), and Rule 506c of Regulation D present viable alternatives. In this context, while navigating the...
by Oscar Jofre | Apr 5, 2024 | Broker-dealers, Investors, Issuers, KoreConX
12 Years of the JOBS Act It’s time to reflect on and remember the impact of this innovative legislation in the history of financial market. Passed in 2012, JOBS Act has brought positive changes to the landscape of capital raising and investment in the USA. This...
by Oscar Jofre | Feb 7, 2024 | Broker-dealers
In the realm of private capital markets, due diligence is not just a procedure but a pledge—a commitment to uphold integrity, trust, and compliance. This guide serves as a beacon for Chief Compliance Officers (CCOs) and their compliance teams, guiding them through...
by Oscar Jofre | Mar 24, 2023 | Broker-dealers
The SEC’s long-time policy for broker-dealers is to keep records of their business activities in a non-rewritable, non-erasable format – otherwise known as WORM (Write Once Read Many). But with new amendments to Rule 17a-4, broker-dealers are provided an audit trail...
