by Oscar Jofre | Sep 28, 2022 | Capital Markets, Capital Raising, Compliance
Shareholder management is a critical part of any company, but it can be especially daunting for those who have recently completed a RegA+ or RegCF offering. When you welcome so many new shareholders on board, it’s important to have a plan in place for how you will...
by Oscar Jofre | Sep 14, 2022 | Compliance, KoreConX, Regulation
The internet is often difficult to navigate. On one hand, many wonderful resources can be found for educational purposes, you can connect and communicate with anyone anywhere in the world, and new ways to manage financial investments are accessible at the tip of our...
by Oscar Jofre | Jul 26, 2022 | Capital Raising, Compliance, Regulation
When it comes to RegA+ offerings, there are several reasons they may fail: a failure to comply with regulatory requirements, a failure to budget for the offering properly, or a failure to assemble sufficient expertise. Most of these can be attributed to a lack of...
by Oscar Jofre | Jul 1, 2022 | Capital Markets, Capital Raising, Compliance
Each year, an estimated $2 trillion from illicit activities is laundered. This poses a significant challenge to financial institutions, requiring onerous efforts to verify that individuals involved in financial transactions are who they claim to be. This is where KYC,...
by Oscar Jofre | May 16, 2022 | Compliance, KorePartner
This blog was originally written by our KorePartners at Assurance Dimensions. View the original post here. Your 401k audit requires the work of multiple key players with different roles and responsibilities. It’s a team effort to ensure your benefit plan audit...
by Oscar Jofre | Dec 1, 2021 | Capital Markets, Capital Raising, Compliance, FINRA, Regulation, SEC
When the JOBS Act was signed into law in 2012, it brought about many changes in the private capital markets, namely, the dramatic increase in the availability of capital from more expansive pools of investors. Later on, 2016 saw Regulation Crowdfunding, also known as...
