What is ESG Investing? ESG or environmental, social and (corporate) governance are non-financial factors an investor can use to examine a companyâs sustainability performance and build a more socially responsible portfolio. There has been a significant shift towards sustainable investing with sustainable investments now at $4 trillion[1] and increasing actions towards decarbonatization. Here is a…
In 2017, a Texan resident bought a home entirely in Bitcoin in Austin Texas marking the first ever Bitcoin real estate purchase. The Russian real estate firm, Kalinka, was hired in the same year to sell a clientâs home for $8 million worth of Bitcoin. In June 2021, a $22.5 million Miami Beach penthouse was…
In a recent SEC Press Release, the Securities and Exchange Commission (the âSECâ) announced it obtained emergency relief, including asset freezes, against the defendants: StraightPath Venture Partners LLC (the âSP Fund Managerâ), StraightPath Management LLC, and others. The defendants reportedly oversold pre-IPO securities, disguised fees as high markups, and commingled accounts. From November 2017 to…
Reg A is a mini-initial public offering (âIPOâ) because the requirements are more flexible than traditional IPOs since it requires less time and resources. Thus, Reg A can be a budget-friendly option for small to mid-sized companies trying to raise capital when selling securities.
Accredited investors must meet specific criteria outlined by the U.S. Securities and Exchange Commission
Venture Capital funding is an investment in your business, usually in the form of a stock purchase, by an individual or fund, whose goal is to help manage your company to grow rapidly. The goal of those who provide venture capital is to sell that stock when it has greatly increased in value. That becomes…
The Securities and Exchange Commission (SEC) recently obtained a criminal conviction against a former Pharmaceutical CFO for insider trading. This was not a generic trading on a novel piece of Material Non-Public Information (MNPI) acquired through the grapevine. From the indicting Information, which was consented to by the Defendant, it was a series of intentional,…
The Securities Exchange Commission was recently awarded judgments In four cases involving a violation of SEC Rule 10b-5. The violations in the four cases were different, but they all fell under the same SEC rule. The first announced products that didnât exist. The second made misleading investment statements. The third submitted false expense reports, and…
A fiduciary is a person or entity that is required to act in the best interests of another person, entity, or group of persons. Typically, a fiduciary will manage assets on behalf of a beneficiary. In, corporate law, a fiduciary can be a) a member of the board of directors; b) an officer of the…
In September of last year, the Securities and Exchange Commission (the âSECâ) adopted a new amendment to Rule 15c2-11 of the Securities and Exchange Act of 1934. The changes to Rule 15c2-11 are primarily concerned with the way companies traded Over the Counter (âOTCâ) and are able to continuously be quoted by brokers using the…
