October 6, 2021
What is a Securities Manual?
For companies to raise capital under the exemptions allowed by the JOBS Act, there are different requirements to maintain compliance with state and federal securities […]
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
September 27, 2021
What is a Company’s Duty to its Shareholders?
For many companies, raising capital often marks a major milestone. With increased sources of capital, the company can grow, hire new employees, and develop new […]
September 22, 2021
As a Canadian Company, can Canadians Invest in Your RegA+?
We have extensively discussed how Americans can invest in securities offered under Regulation A+. However, Canadian companies can also use the exemption to raise capital […]
September 20, 2021
Why do I need Blue Sky registration for Secondary Trading?
Through the Regulation A+ exemption, securities issuers can raise up to $75 million as of March 2021. This creates a significant opportunity for the everyday […]
September 15, 2021
How often do I need to hold an AGM?
Every year, Warren Buffet hosts the Berkshire Hathaway Annual Shareholders Meeting. This meeting is an Annual General Meeting (AGM), widely viewed with many people in […]
September 13, 2021
Why do I need a FINRA Broker-Dealer?
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 […]
August 30, 2021
The Role of Investor Acquisition in Capital Raising Activities
The goal of any capital raising activity is to secure capital for the growth and development of the business. Without needed capital, it can often […]
August 23, 2021
How to Select a Crowdfunding Platform for Your Capital Raise
Introduction to the JOBS Act One of the significant advancements brought to the financial sector in recent years was the enaction of the JOBS Act […]
August 13, 2021
What is KYP?
Previously, we have talked about KYC or Know Your Client. KYC is a rule from the non-profit Financial Industry Regulatory Authority (FINRA), created in the […]
August 11, 2021
What is the Difference Between Fiduciary Responsibility and Regulatory Requirement?
By definition, a fiduciary is a person or an organization who holds a legal or ethical relationship of trust with another person or organization. Typically, […]