by Oscar Jofre | Aug 30, 2021 | Capital Markets, Capital Raising, Compliance
The goal of any capital raising activity is to secure capital for the growth and development of the business. Without needed capital, it can often be challenging to expand; whether that means hiring more employees to keep up with demand, improving production...
by Oscar Jofre | Aug 23, 2021 | Capital Markets, Capital Raising, Compliance, FINRA, Regulation, SEC
Introduction to the JOBS Act One of the significant advancements brought to the financial sector in recent years was the enaction of the JOBS Act signed into law by President Obama on April 5th of 2012. Within that legislation contained a form of raising capital for...
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 | 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...
