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 | May 31, 2023 | Issuers
Recently, we received a question from an issuer wondering what “direct listing” means. In short, a direct listing, also sometimes referred to as a direct public offering, is an offering in which an issuer raises capital directly from investors without a...
by Oscar Jofre | May 24, 2023 | Issuers
Think of buying a traditional stock, listed on a public exchange like the New York Stock Exchange or NASDAQ. You can buy and sell these stocks freely; you can do so through a broker-dealer, online, or even through an app on your smartphone. You can sell it almost...
by Oscar Jofre | Aug 17, 2022 | Investors, Issuers
The private equity market is rapidly growing, fueled by expansions to the JOBS Act exemptions in 2021. By 2030, the private capital market is anticipated to grow to a total value of $30 billion. This is largely driven by more companies seeing the potential in...
by Oscar Jofre | Aug 10, 2022 | Broker-dealers, Issuers
For entrepreneurs, it’s crucial to understand the private capital market well. Companies no longer need to go public to raise capital, enabling entrepreneurs to maintain more control of their companies. With regulations such as RegA+ and RegCF, accredited and...
