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.

 

What the SEC’s Ongoing Vigilance of Mutual Fund Share Class Selection Means for Advisers

Regulators have showed renewed interest in investment fees in recent years. Specifically, the U.S. Securities and Exchange Commission (SEC) has heightened focus on advisers not complying with the Investment Advisers Act of 1940, when fully disclosing all material conflicts of … Read More

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