EB-5 Compliant Business Plan & Investment Compliance
The EB-5 industry is growing very rapidly and with that comes increased regulatory oversight. Core Compliance & Legal Services, Inc.℠ ("Core Compliance") can help with:
-
-
-
Broker-Dealer Formation
Firms that are interested in starting a broker-dealer for the purpose of participating in EB-5 securities transactions will need assistance going through the extensive process of becoming registered with the SEC and attaining membership with FINRA.
-
Create Written Supervisory Procedures
New EB-5 broker-dealers need to create a Written Supervisory Procedures Manual that details how the firm will comply with FINRA rules and securities regulations. Existing broker-dealers who wish to enter this space must amend their current procedures to comply with regulations and internal controls governing EB-5 securities transactions.
-
Compliance Consulting
Not all regulatory questions are easily answered, especially with a program like EB-5. The team is standing by to provide guidance on securities regulations and their applicability to the EB-5 program.
-
FINRA Examination Support
We have the knowledge to guide EB-5 broker-dealers through their initial and ongoing regulatory examinations, providing insight, mock interviews and preparation guidance based on our experience with the program.
-
-
Resources
Related Articles
In July 2019, the US Securities and Exchange Commission (“SEC”) issued interpretive guidance on the standards of conduct for investment advisers.[1] The guidance outlines an investment adviser’s duty of care and loyalty as a fiduciary to its clients and specifically … Read More June 1, 2023 | 9:00am PT Speakers: Michelle L. Jacko, CEO, Jason M. Ewasko, Chief Development Officer and Christian Kelly, Chief Technology Officer, Xantrion Join our free live webinar on June 1st at 9 am PT to learn how the … Read MoreDuty of Care and Loyalty – What Investment Advisers Need to Know
Live Webinar – RIA Best Practices for Complying with the Proposed New Cyber Rule
“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”
Michelle L. Jacko, CSCP, CEO