by Oscar Jofre | Aug 16, 2021 | Capital Markets, Capital Raising, Legal, Regulation
To use Reg CF (aka Title III Crowdfunding), an issuer must be “organized under, and subject to, the laws of a State or territory of the United States or the District of Columbia.” That means a Spanish entity cannot issue securities using Reg CF. But it doesn’t mean a...
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 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 | Jul 13, 2021 | Capital Markets, Capital Raising, Compliance, Investor Relations, Regulation
For private companies looking to raise capital through exemptions such as Regulation A+, Regulation CF, or Regulation D, there are many forms of securities that they may be able to issue to investors. Lately, there has been much buzz around warrants for RegA+...
by Oscar Jofre | Jul 9, 2021 | Capital Markets, Capital Raising, Compliance, KorePartner, Regulation
With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the partners that contribute to its ecosystem. Douglas Ruark, the Founder and President of Regulation D Resources, has always been fascinated by the mechanisms and...
by Oscar Jofre | Jul 7, 2021 | Capital Markets, Capital Raising, CapTable, Compliance, Fintech, Legal, Regulation
In the wake of the 2008 economic crisis and the subsequent recession that followed, there was a push to create new regulations to govern financial institutions in the United States. With these regulations came requirements that businesses had to follow to be compliant...
