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 […]
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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.
broker-dealer
January 12, 2024
Raising capital for startups: 3 red flags for not being tricked
Can a startup pay a transaction-based fee for capital raising assistance? This is a very common question. For the most part, the answer is a […]
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 31, 2023
What Does Direct Listing Mean?
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 […]
May 24, 2023
Can I Trade Private Shares?
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 […]
March 24, 2023
SEC Amends Broker-Dealer Record-keeping Requirements
The SEC’s long-time policy for broker-dealers is to keep records of their business activities in a non-rewritable, non-erasable format – otherwise known as WORM (Write […]
March 1, 2023
Who Does Due Diligence on Companies Using RegCF?
When it comes to raising capital using Regulation Crowdfunding (RegCF), due diligence is an essential part of the process. Due diligence helps ensure that the […]
February 27, 2023
Who Does Due Diligence on Companies using RegA+?
Due diligence is an essential part of the investment process. Especially following the passage of the JOBS Act in 2012, which expanded Regulation A+ (RegA+), […]
August 17, 2022
Opportunities to Invest in the Private Capital Market
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 […]
August 10, 2022
How to Manage Investment Information
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 […]