CrowdCheck Blog
This is a question we often get from companies as they are trying to organize their cap table, or provide information to a transfer agent. Many companies seem to be of the belief that shares are not actually issued until a certificate is prepared, or that the shares are recorded on the company’s internal ledger, or the transfer agent’s ledger. However, this is not correct.
Taking a step back, investors commit to acquire a company’s shares by signing a subscription agreement (which may also be…
This entry is filed under Capital Raising, Educational, Securities Law
This is a question we often get from companies as they are trying to organize their cap table, or provide information to a transfer agent. Many companies seem to be of the belief that shares are not actually issued until a certificate is prepared, or that the shares are recorded on the company’s internal ledger, or the transfer agent’s ledger. However, this is not correct.
Taking a step back, investors commit to acquire a company’s shares by signing a subscription agreement (which may also be…
This entry is filed under Capital Raising, Educational, Securities Law
This is a question we often get from companies as they are trying to organize their cap table, or provide information to a transfer agent. Many companies seem to be of the belief that shares are not actually issued until a certificate is prepared, or that the shares are recorded on the company’s internal ledger, or the transfer agent’s ledger. However, this is not correct.
Taking a step back, investors commit to acquire a company’s shares by signing a subscription agreement (which may also be…
This entry is filed under Capital Raising, Educational, Securities Law
I wrote this and posted it on my personal blog at the time of the Christmas 2012 Shutdown. Unfortunately, it seems just as relevant today. I am particularly struck by the reference to the Dow performance.
Merry Christmas to all those who celebrate it.
Sara
[Date: many years in the future]
Many memories have faded now. But the clearest memories I have are of the events one Christmas that nobody quite agrees about. All of us who were there know that something happened, but when we try to…
This entry is filed under Educational
We are seeing a lot of references to KYC/AML in the ICO/STO space. Lots of shops include this function as part of their pitch to create smart contracts and host the offering on their platform.
The problem is that what they are doing in most cases isn’t actually KYC/AML and this could lead to confusion in the future.
KYC, or “know your client,” is the process that a regulated entity like a broker-dealer goes through in order to establish not just the identity of its client, but also that client’…
This entry is filed under Disclosure, Educational, ICO, Blog
We are seeing a lot of references to KYC/AML in the ICO/STO space. Lots of shops include this function as part of their pitch to create smart contracts and host the offering on their platform.
The problem is that what they are doing in most cases isn’t actually KYC/AML and this could lead to confusion in the future.
KYC, or “know your client,” is the process that a regulated entity like a broker-dealer goes through in order to establish not just the identity of its client, but also that client’…
This entry is filed under Disclosure, Educational, ICO, Blog
We are seeing a lot of references to KYC/AML in the ICO/STO space. Lots of shops include this function as part of their pitch to create smart contracts and host the offering on their platform.
The problem is that what they are doing in most cases isn’t actually KYC/AML and this could lead to confusion in the future.
KYC, or “know your client,” is the process that a regulated entity like a broker-dealer goes through in order to establish not just the identity of its client, but also that client’…
This entry is filed under Disclosure, Educational, ICO, Blog
We are seeing a lot of references to KYC/AML in the ICO/STO space. Lots of shops include this function as part of their pitch to create smart contracts and host the offering on their platform.
The problem is that what they are doing in most cases isn’t actually KYC/AML and this could lead to confusion in the future.
KYC, or “know your client,” is the process that a regulated entity like a broker-dealer goes through in order to establish not just the identity of its client, but also that client’…
This entry is filed under Disclosure, Educational, ICO, Blog
Website and Registration:
http://www.lexvid.com/cle/securities-crowdfunding-cle
Description:
The JOBS Act recently paved the way for securities crowdfunding - that is, when a large number of investors make small investments in companies via online portals. Once implemented, securities crowdfunding will revolutionize the way small businesses and start-ups acquire capital. This program explores the new rules, and delves into the potential impact on campanies and investors. Among the key issues…
This entry is filed under Educational, Podcast, Blog
Website and Registration:
http://www.lexvid.com/cle/securities-crowdfunding-cle
Description:
The JOBS Act recently paved the way for securities crowdfunding - that is, when a large number of investors make small investments in companies via online portals. Once implemented, securities crowdfunding will revolutionize the way small businesses and start-ups acquire capital. This program explores the new rules, and delves into the potential impact on campanies and investors. Among the key issues…
This entry is filed under Educational, Podcast, Blog