February 7, 2024
The Broker-Dealer’s Guide to Due Diligence process
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 […]
Kore is the first of its kind, an All-In-One Platform that unites tools to securely and efficiently manage essential business data and facilitate compliance.
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Kore is the first of its kind, an All-In-One Platform that unites tools to securely and efficiently manage essential business data and facilitate compliance.
Compliance
January 10, 2024
RegD SEC Reporting Obligations
RegD SEC reporting obligations is a theme that causes a lot of doubts, even concerns, among people who are thinking about raising capital. The compliance […]
June 20, 2023
Private Capital Market Regulations – 10 RegA+ Issuers Penalized for SEC Violation: What Can We Learn?
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 […]
June 7, 2023
What is an Escrow Provider’s Role in RegA+?
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 […]
May 22, 2023
What is a CIK Number?
Recently, we received a question from an issuer who asked what a CIK number is. If you have ever filed a form with the Securities […]
May 12, 2023
Veni, Vidi, Verify
More than two millennia ago, Julius Caesar said the famous phrase, “Veni, Vidi, Vici”, triumphant in battle. This translates to, “I came, I saw, I […]
May 3, 2023
Avoiding Scams
Scams come in all shapes and sizes but share the same goal: to take someone’s hard-earned money. At KoreConX, we talk a lot about the […]
May 1, 2023
What is an Escrow Provider?
If you’ve bought a home, you’ve likely heard the term escrow. In the homebuying process, escrow can be used to hold a good faith deposit […]
April 17, 2023
Form C-AR filing time again!
Hi everyone; a reminder that we are just over a month away from the deadline to file Form C-AR by May 1.* We wanted to […]
April 10, 2023
5 Things You Need to Know About Transfer Agents
When a company issues securities, it is vital to keep the official record of ownership and distribution accurate and up-to-date at all times. This process […]