Finding A Way.

Start-Ups and Entrepreneurs: Read This Before Going Through a Financing Round

Today’s topic surprises and shocks most of my start-up and entrepreneur clients when they consult me about a potential capital raise. Under the Securities Act of 1933 (Securities Act),...

SEC Risk Alert: 5 Things Not to Do, Advisers!

Earlier this year, the SEC’s Office  of Compliance Inspections and Examinations (OCIE) published a Risk Alert with the “five compliance topics most frequently identified in deficiency letters to...

Start-Ups: Get Your Pre-nup

Two or more people decide to launch a new business, and this is how it typically goes down regarding the relationship between them: "We have known each...

3 Essential Tasks for Founders Starting a Venture

As I’ve written before, the race to opening your new venture is characterized by expansive enthusiasm—but that doesn’t make having important legal safeguards any less important. Unfortunately,...

Countdown To Launching Your Business: Key Legal Safety Checks

In this post I aim to give you an overview of some important steps on the road to protecting and growing your company’s true value. Not all...

Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business Against Them

It sounds futuristic, or like CSI: Cyber, a sci-fi world of white hat/ black hat hackers, and of constant threats to national security and the financial markets...

Think Before You Tweet: Top 5 Social Media Tips for Advisers

So Apple announced its new iPhone 6 etc. about an hour ago — it’s probably old news by the time this post hits the wire, which is...

Protecting Your Start-Up’s Assets: The Non-Disclosure Agreement

For many start-ups, their greatest asset is a game-changing idea. To build the idea into a successful business, they will invariably need to share it with potential...

Selling Your Business: Acing Due Diligence

You put your company up for sale, potential buyers are lining up.  What then follows is the inevitable: The due diligence process, in which the buyer kicks...

Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (the Act) is the rulebook for SEC-registered investment advisers (RIAs). The Advisers Act, together with the related rules adopted by the...

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