KoreConX

Author Archives: Jonathan Heymann

Jonathan Heymann

Capital Raising “Capital markets point of view̶...

For private issuers, raising capital is the next natural step once you have exhausted other traditional forms of financing. It becomes even more en...
Jonathan Heymann

Hiring in the Securities Industry: What you Need to Know

Hiring a new employee can be challenging in any environment, but it’s even harder in the securities industry.  Employee not only have to be the rig...
Jonathan Heymann

Proficiency Requirements

Securities legislation is quite clear on what courses and designations you need in order to register in the various categories, but what relevant e...
Jonathan Heymann

Product Due Diligence (Company/Issuer)

Dealing Representatives are only allowed to sell products that have been approved by the Chief Compliance Officer (CCO) — and only after they’ve be...
Jonathan Heymann

Compliance Review

Compliance Review Compliance reviews by regulators follow a prescribed format depending on what has triggered the visit, whether a full complia...
Jonathan Heymann

How to Build an Effective Compliance System

Regulators are paying increasing attention to firms’ compliance structures to ensure there is a system of control and supervision in accordance wit...
Jonathan Heymann

Three Compliance Commandments to Obey

Advisors have a duty to act fairly, honestly and in good faith with clients. To meet these obligations, they must know their clients, understand th...
Jonathan Heymann

Becoming an EMD

So, you’re thinking of setting up your own Exempt Market Dealer “EMD”. Starting your own firm, along with the additional compliance responsibilitie...