dealing with litigation risks
Private offerings often carry the risk of investor litigation, particularly if investors feel misled or if the investment does not perform as expected. Issuers need to have legal counsel in place to handle any disputes that arise from the offering, as well as to ensure that offering materials and marketing efforts comply with anti-fraud provisions.
Related pages
- FINRA Requirements for Broker-Dealers
- educational support
- investor relations and transparency
- Investor funds protection
- Managing Escrow Logistics
- Managing Investor Relations
- Non-accredited Investor
- Reg A+
- Resale Restrictions
- Regulations
- advertising and solicitation rules
- currency conversion and international payments
- filing and disclosure automation
- form 1-A
- global investor participation
- investment limits for non-accredited investors
- investor tracking and notifications
- market demand and pricing
- ongoing reporting
- real-time transaction processing
- regular audits and compliance
- Reg A
- regulatory reporting
- system uptime
- Campaigns conducation
- Disclosure of Risks
- Form C-AR
- Form C
- Investment Caps
- Liquidity for Investors
- Marketing and Advertising Restrictions
- Tax Reporting
- Verification of Eligibility
- Reg CF
- Financial Statements Audit
- Reg D
- Blue Sky Laws
- Form d
- Ongoing Reporting Obligations
- Proper Risk Disclosure
- Protecting Non-Accredited Investors
- Reg D 504
- Reg D 506 b
- Reg D 506(c)
- advanced valuation models
- complexity of alternative assets
- continuous oversight
- escrow and payment integration
- illiquid markets
- illiquidity of alternative assets
- lack of standardized valuation
- market-making challenges
- matching buyers and sellers
- multiple jurisdictional regulations
- operational complexity
- performance monitoring
- regulatory reporting requirements
- secondary market
- settlement time
- transaction reporting
- valuation of alternative assets