The Regulatory Considerations for M&As and Transition Planning 

Mergers and acquisitions are becoming increasingly commonplace as a result of strategic transition planning. Each of these scenarios has a series of regulatory compliance considerations the business must face, whether on the breakaway path or on the merger and acquisition side.

There are many facets to merging, acquiring or owning and operating an independent business other than merely developing new corporate governance documents and registering, as needed, with the appropriate regulatory body.  From unveiling new product and service offerings to research, trading ...

Financing, Capital, and Ownership Structures

Corporate transactions categorized as Mergers & Acquisitions (“M&A”) generally include asset purchase agreements, mergers, reverse mergers, stock purchase agreements, share exchange agreements,  consolidations, tender offers, and other transactions involving the combination of two or more companies.  A transaction can fail to meet expectations when too much time is spent determining how much to pay for an acquisition and not enough thought given to how the deal will be financed. In this section, we’ll review various ways capital can be used to fund an acquisition and ...

 The Essentials of a Purchase and Sale Agreement

You’ve reached the stage of the merger and acquisition process where you’ve completed the due diligence process and are ready to put pen to paper.

This is when every paragraph, sentence, and word should be reviewed by experienced corporate to successfully draft contracts for the sale of companies. In most cases, the purchaser and their legal advisors are already at work preparing the first version of the purchase agreement.

Those involved in their first acquisition can be overwhelmed by the numerous complexities that must be addressed. The qualified team of merger and ...

Starting Out: Mergers & Acquisitions

Strong secular trends, supportive financial markets, and concerns surrounding unknown changes to upcoming tax legislation have fueled a surge of activity in the area of mergers and acquisitions (“M&A”). The trend is expected to continue as companies seek a competitive edge in a post-pandemic environment. 

Private Equity and Your Regulatory Compliance Counsel

Private Funds offer unique and varied opportunities in the securities industry. With these opportunities come a complicated legal minefield as to navigating the rules and regulations of operating a Private Fund.

The Most Important Consideration When Starting a Business

The steps one must take to become a successful entrepreneur can be both exhausting and exhilarating. Do I have a solid business plan? What should I name my company? What about office space? A company logo?

Starting Out: Mergers & Acquisitions – Term Sheets and Due Diligence

Once you have made the decision to pursue an M&A transaction, the next phase of the process is designed to accelerate progress toward a deal or abandon it altogether.

Four P’s of the Breakaway and Transition Process

Among the most notable workplace trends in recent years has been the growing number of financial advisors seeking to breakaway and transition their careers. To many, the allure of joining a registered investment advisory (RIA) firm or launching a new RIA is the desire for greater independence and increased compensation.

Proactive Risk Mitigation

Given the current regulatory landscape, good intentions just aren’t good enough. Companies need to be actively protecting themselves and their personnel from liability.

How a Popular Index’s Lack of Risk Disclosures Resulted in a Recent $9 Million SEC Fine: Lessons Learned

The absence of simple disclosure in a licensing agreement about an Auto Hold feature for a volatility index managed by S&P Dow Jones Indices (S&P DJI) prompted the U.S. Securities and Exchange Commission (SEC) to take action, further establishing a framework for index providers.

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