StartUp Law 101

Late last year I had the opportunity to collaborate with Catherine Lovrics, B.A., LL.B at Bereskin & Parr LLP, on the inner workings of raising capital for entrepreneurs. Her book, Startup Law 101: A Practical Guide, published last week. The basis of our conversations surrounded accessing funding at the right time and identifying the the […]

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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 right choice for the firm, but they must also pass muster with the securities regulators who approve registration. In reviewing an application for registration, the regulators focus on three key […]

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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 experience is sufficient is less clear cut. No matter the category you are applying under, the regulators must determine than individual is fit for registration. They look at the proficiency of the […]

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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 been trained on a product features, risks and costs. Depending on your firm’s size, product due diligence may be performed by the CCO herself, or by a dedicated corporate finance team. Here’s […]

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Wild Wild West of ICO’s time to move over, Regulated ICO’s are coming (#TAO)

Those that can remember the wild wild west of crowdfunding back in 2010-2011 will have a feeling of dejavu seeing the 2017 ICO market take off.  Not that crowdfunding ever saw the numbers that we are seeing in the ICO market, but that is because the securities regulators stepped in early when crowdfunding launched in […]

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Investor Relations Hashtag #IRPrivate

I know what you are thinking, why on earth do a blog regarding a hashtag.  Clearly everyone knows what Investor Relations (IR) is and how to find it. I felt that it was time to launch a new tool to find information about private companies online for 2018. Like any good article I wanted to make sure […]

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The Good, The Bad, and the Confusing Messaging

Think of yourself standing in front of a room full of strangers, about to give a speech on particle physics.  You don’t know if they are experts on the topic, or know nothing at all.  You don’t know what their interests are, what they think you’re going to tell them, what they want to hear […]

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Compliance Review

Compliance Review Compliance reviews by regulators follow a prescribed format depending on what has triggered the visit, whether a full compliance review, targeted review or a for-cause review based on information that has come to their attention. But, during any type of review, there are certain deficiencies that are more significant than others. Here’s what […]

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Happy 2nd Anniversary KoreConX !

We are so excited to be celebrating the 2nd year anniversary of the KoreConX all-in-one business platform launch.  It’s amazing how fast the past 2 years have gone by.  We have made friends all over the world who have shared their stories of how they use KoreConX to manage their investments with our Portfolio Management tool and […]

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Yes ONE login Yes ONE platform

The All-in-ONE platform The promise land of technology since the early days (going back to the 80’s) was to have one platform to make us more efficient, bring us online to collaborate and connect to a variety of other technology services like Fintech, InsurTech, LegalTech, RegTech, etc. The internet changed a lot for businesses and […]

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