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Read articles published by the KoreConX team discussing recent and relevant topics on all things related to private capital markets.

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KoreConX

Each interview I’ve had in the past two weeks has asked a question about how some companies or outsiders believe that having a large pool of investors is not good for a company and is distracting. I pondered my response on a number of occasions and then I reflected on comments from the founders of…

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Welcome to the KoreConX blog. You are probably wondering who we are and what we do? As our first blog, we wanted to start by telling you our story, explaining what we do and our target audience. First lets start with our company name. For us, it was important to select a name that would…

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KoreConX

Are you spending too much time on compliance and getting frustrated with all the paperwork? Compliance Officers have to deal with compliance and regulatory issues on a daily basis, but it does not have to be a burden or paper shuffling affair. The smart Compliance Officers take control of their situation and find effective and efficient tools…

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KoreConX

Regulators are paying increasing attention to firms’ compliance structures to ensure there is a system of control and supervision in accordance with securities rules and regulations. The system should include internal procedures to detect non-compliance and contain remedies to resolve these issues. By implementing online technologies to assist and make compliance more efficient. Here’s what…

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KoreConX

Just raised money via crowdfunding? Have you raised money traditionally several times and have lots of shareholders to manage? So, what is the best way to manage all your shareholders? Managing one’s shareholders via equity crowdfunding is something that gets raised a lot. It is a hot topic because now companies are finding they have…

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KoreConX

All too often, the responsibility of a company raising capital is left in the hands of a few people…and that weighs on them, affecting everyone. The majority of the team is left out of the process, carrying on day to day operations without input into where the company is going, and how it’ll get there….

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KoreConX

Advisors have a duty to act fairly, honestly and in good faith with clients. To meet these obligations, they must know their clients, understand the products they sell them and ensure investments are suitable. KNOW YOUR CLIENT (KYC) Having clients complete a basic KYC form isn’t enough. You also need to make detailed notes about…

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KoreConX

I think you should get naked. There’s a reason why people have nightmares about being naked in front of a crowd, and it’s because they hate the idea of being that vulnerable.  As an entrepreneur, it can be even more daunting.  Your success or failure depends on what that crowd decides, and you’ve likely been…

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KoreConX

So, you’re thinking of setting up your own Exempt Market Dealer “EMD”. Starting your own firm, along with the additional compliance responsibilities, can be daunting, but being your own boss can be rewarding. Since NI 31-103 was enacted in 2009, regulators have imposed more obligations on EMD registrants: audit, insurance, proficiency, and now Chief Compliance Officer experience…

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There is a lot of media focus on crowdfunding, but sometimes the types of crowdfunding are not properly distinguished. You hear a lot about the Kickstarter’s and Indiegogo’s of the world and people are confusing these with actual investments in companies. To understand debt (lending) vs. equity based crowdfunding you must first know the four…

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