by Oscar Jofre | Oct 3, 2022 | Capital Raising, Compliance, KoreConX, SEC
On September 30, 2022, the SEC announced charges against 8 CEOs and CFOs for fraudulently promoting Regulation A+ securities offerings. The companies named by the SEC include Elegance Brands Inc. (now Sway Energy Corp.), Emerald Health Pharmaceuticals Inc., Hightimes...
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 | Jun 1, 2022 | Capital Markets, Capital Raising
In the world of Reg A+, quarterbacks are essential to a successful offering. They play a critical role in the overall success of an offering, and their importance should not be underestimated. This article will explore the role of the quarterback and explain why they...
by Oscar Jofre | Sep 13, 2021 | Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA
Broker-dealers are an essential part of the fundraising process. These entities can be small, independent firms or part of a large investment bank. However, regardless of a broker-dealer’s size, they are in the business of buying or selling securities. In this...
