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 | Jun 7, 2023 | Investors, Issuers
An escrow provider is a neutral party that handles financial transactions between two or more parties. They are often used in the securities industry to ensure that all parties involved in trade receive their agreed-upon share of the investment. Escrow providers in...
by Oscar Jofre | Apr 21, 2023 | Investors
Investing in the private market can be a great way to gain returns unavailable elsewhere. With the right research, investments in private companies can yield higher returns than traditional public markets. With the size of the global private markets growing throughout...
by Oscar Jofre | Mar 1, 2023 | Investors, Issuers
When it comes to raising capital using Regulation Crowdfunding (RegCF), due diligence is an essential part of the process. Due diligence helps ensure that the company offering securities complies with all applicable laws and regulations and that investors are fully...
by Oscar Jofre | Feb 27, 2023 | Investors, Issuers
Due diligence is an essential part of the investment process. Especially following the passage of the JOBS Act in 2012, which expanded Regulation A+ (RegA+), companies now have additional opportunities to seek capital from investors. This has created a need for due...
