How to Prepare for Amendments to Regulation S-P – NSCP Currents
Managing Partner Michelle L. Jacko explores the recent amendments to Regulation S-P in the October 2024 issue of the NSCP Currents Newsletter.… 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.
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
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
M&A Trends for 2024
Inflation, high interest rates and geopolitical instability have influenced market momentum, which has in turn encouraged a highly intentional, risk-averse approach to business growth.
Businesses remain dedicated to aggressive development especially in the wake of the AI boom that is said to ramp up even more next year. However, in the effort to mitigate as much risk as possible, Mergers and Acquisitions will take center stage in 2024.… Read More
SEC EXAMS for RIAs: What you Need to Know to Prepare – NSCP Currents
Managing Partner Michelle Jacko’s article, “SEC EXAMS for RIAs: What you Need to Know to Prepare” published in the NSCP Currents… Read More
IA Marketing Rule Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Mergers & Acquisitions
People Over Profits: How M&A Can Affect the Employee Experience
M&A can have a significant impact on the employee experience, and it is essential for companies to take steps to mitigate the negative effects. By being transparent and involving employees in the process, companies can create a more positive and productive work environment for everyone involved.… Read More
Grow or Exit: Understanding When it is the Right Time to Sell Your Company
As all business owner’s know, timing is important to maximizing profits. As business owners create and analyze their exit plan it is important to forecast the owner’s exit timeline. This timeline clearly impacts the amount of value-building initiatives that can … Read More
Understanding Your Value: 5 Key Components to Human Capital
When creating an exit plan and preparing to sell your business it is important to maximize the value of your intangible assets. One of the most valuable intangible assets of a business is human capital. The five key components of … Read More
Business 101: What is Exit Planning
Exit Planning combines the plan, concept, effort, and process into a clear, simple strategy to build a business that is transferable through strong human, structural, customer, and social capital. The future of you, your family, and your business are addressed … Read More
Three Questions to Determine if You’re Ready to Plan Your Exit?
The answer to “Are you ready to plan your exit?” is always a resounding yes. Exit Planning is not a process you, as a business owner, should come to when you start to either want to transition to a new … Read More