KoreSummit The Rise: A New Era For Broker-Dealers

Expert insights and Knowledge for all – KoreSummit The Rise
In its ongoing journey of sharing educational content for the private capital markets, KoreSummit continues to excel.
This was especially clear in October 2024, as the event featured not just one but two sessions per day. It was a time of great learning and networking for all audiences. Broker-dealers (BDs) connected through KoreSummit The Rise, while investors benefited from KoreSummit The Power of Investor.
Today, we’ll be sharing highlights from KoreSummit The Rise, and in future posts, we’ll cover KoreSummit The Power of Investor.
It all started with the session “The Rise | Seizing the $150 Billion Opportunity”.
During the session, Oscar Jofre hosted a talk with David Weild IV, Patrick Costello, and Mitch Avnet.
The session was filled with valuable discussions and insights that are not often highlighted, such as Weild’s remark: “Interestingly, the JOBS Act stands as the only pro-Capital Access legislation enacted in the past 84 years.”
They also explored the balance between technology and human oversight in the broker-dealer space, with insightful contributions from Mitch Avnet and Patrick Costello.
Another key focus was the role of compliance expertise and operational readiness in Private Capital Markets activities, which is essential for ensuring regulatory adherence and protecting investor interests.
Understanding the best of Technology for BDs
In the panel “Harnessing Technology: How Broker-Dealers Can Save Time and Increase Efficiency” we had two great guests. Sara Judd, COO at North Capital and Marty Tate of KB&A Law.
The focus was to discuss how technology is helping broker-dealers be more efficient when raising capital under the Jobs Act. During the talk, Sara Judd pointed out that they’ve handled over 850,000 primary issuances and verified 41,000 accredited investors, showing how tech can really scale operations.
Marty Tate also explained some rules for Reg CF, Reg A, and Reg D, emphasizing how important compliance is and the role of broker-dealers in protecting investors. Another point that’s worth checking is their highlights on challenges like working with different service providers. Managing data properly, and keeping up with stricter advertising and compliance rules are crucial for the success of the offering.
KoreSummit: The update every broker-dealer should have
Now that you’ve had a glimpse into the high-level content offered at KoreSummit, this is just the beginning.
Knowledge is power, and staying informed is key to staying ahead. Catch the full sessions from KoreSummit The Rise on YouTube and discover how you can save time, streamline operations, and better serve your clients.