by Oscar Jofre | Jan 31, 2024 | Transfer Agent
In today’s article, we’ll talk about the key role of transfer agents in protecting shareholder rights and corporate governance. Especially when it comes to potential threats from powerful actors like oligarchs or governments. Introduction A long time ago...
by Oscar Jofre | Jan 22, 2024 | KoreConX
Regulation S (RegS) is a Securities and Exchange Commission (SEC) regulation that provides a safe harbor from the registration requirements under the Securities Act of 1933 for certain offerings and sales of securities outside the United States. Regulation S applies...
by Oscar Jofre | Jan 12, 2024 | Issuers
Can a startup pay a transaction-based fee for capital raising assistance? This is a very common question. For the most part, the answer is a clear “no,” but why is that? The short answer is that—except under certain limited circumstances—it is illegal....
by Oscar Jofre | Oct 19, 2023 | Issuers, Legal
Subsidiaries using RegCF: introduction This came up no less than three times last week, so I figured it was worth a blog post. Subsidiaries can raise funds under Reg CF, even if they are subsidiaries of companies who cannot use Reg CF themselves, because they have a...
by Oscar Jofre | Jun 20, 2023 | Capital Markets, Capital Raising, Compliance, SEC
The Importance of Compliance in Private Capital Market Regulations We’ve discussed compliance at length and how it’s essential for building trust within the private capital markets. But what happens when you’re not compliant? The SEC will eventually find out and...
