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Risk Mitigation: “Charging Order” Protection When Forming LLCs for Business Purposes

August 28, 2024 by

Structuring a business strategically plays a major role in optimizing benefits and in protecting the business from potential issues.  Another important facet of strategically structuring a business is to plan for the unexpected and put in place safety nets and contingency plans in the event of a business threat. This is the core principle of risk mitigation. What happens if a business owner is unable or unwilling to pay off a personal debt? Can creditors come after their business assets? It depends.… Read More

Blog | Corporate & Business Formation | Corporate Counsel | Formation Services | Investment Advisers | Investment Companies | Mergers & Acquisitions | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Are you a Prime Target for SEC EXAMS? Determining your Risk Quotient and How to Prepare.

August 15, 2024 by

A common question that investment advisers often wonder is: When is the next time the U.S. Securities and Exchange Commission (“SEC”) will examine me?

The answer to this often lies in the risk quotient tied to the firm.

When the last time the adviser was examined, new products and service offerings, and tips, referrals and complaints all factor into this. The SEC has a risk-based approach to determining when advisers should be examined which also can be driven by new rules and resources available to the SEC staff to conduct registrant examinations.… Read More

Blog | Corporate & Business Formation | Corporate Counsel | Formation Services | Investment Advisers | Investment Companies | Mergers & Acquisitions | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Considerations for Mergers and Acquisitions in the AI Space

August 5, 2024 by

Contrary to analysts’ predictions, mergers and acquisitions (M&As) did not surge as expected in the first part of the year. However, there is one area that continues to see high activity: M&As in the AI sector. Reuters reported a 42% spike in M&A transactions in technology in the first quarter of 2024, bringing in the largest share of M&A deals in that time period.… Read More

Blog | Client Contracts, Independent Contractor & Employee Agreements & Other Documents | Corporate & Business Formation | Corporate Counsel | Outsourced-General Corporate Counsel

How Often Should You Meet with Your Corporate Counsel Attorney?

May 5, 2022 by

Operating successfully requires effort from various areas of business such as accounting, information technology, investing and human resources. Companies also benefit from the insight of a professional familiar within their industry, including the laws, restrictions, and other regulations to keep … Read More

Corporate & Business Formation | Legal Risk Management Tips

What is a SPAC

August 23, 2021 by

Unless you have been avoiding financial news and market analysts during 2020 and 2021, you have heard discussions regarding  Special Purpose Acquisition Company(ies) (“SPACs”). SPACs have been around for decades, but their use has recently skyrocketed as companies consider alternative exit strategies during the Covid-19 pandemic, as it created uncertainty on the public and Initial Public Offering (“IPO”) market.… Read More

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