Making the decision to break-away or start your new adventure as an investment advisor is exciting! However, the process itself could seem overwhelming and burdensome without the proper assistance. If you are considering registering as an investment adviser with a state, this month’s Legal Risk Management Tip is for you.… Read More
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 some of the most common business ownership structures.… Read More
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
For many businesses, the future may appear a bit different, including virtual meetings, employees working remotely, staff reductions, etc. However, as business and market conditions evolve, protecting your intellectual property and corporate brand should remain a significant part of your firm’s ongoing planning process. … Read More
The COVID-19 pandemic has changed the lifestyles of countless Americans. Many have lost jobs or had to shift their focus to home schooling their children. Others have started working from home and have been considering the possibility of opening their own business.
The formation of a registered investment adviser (“RIA”) can be both an exciting and daunting process. On the one hand, the opportunity for financial professionals to achieve independence and the prospect of increased revenues as an independent RIA is an attractive possibility.
On May 28, 2020, the Securities and Exchange Commission (“SEC”) announced that San Jose-based block chain services firm BitClave PTE Ltd. (“BitClave”) agreed to settle charges related to an unregistered initial coin offering (“ICO”) of digital asset securities.
The Securities and Exchange Commission (SEC) recently upgraded its Public Alert: Unregistered Soliciting Entities (PAUSE) website adding 25 soliciting entities and four false regulators and enhancing its accessibility for Main Street investors.
Michelle L. Jacko’s article titled The Private Fund Investment Advisers Registration Act of 2009 which was published in the National Society of Compliance Professionals’ (NSCP) monthly newsletter, Currents, in the July/August 2009 issue. … Read More
Michelle L. Jacko published the article titled The New Merrill Lynch Guidelines in the Bank Advisor Magazine’s January/February 2008 publication. … Read More