Masterclass Certificate in Startup Investment Compliance
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โข Federal Securities Laws: Understanding the legal framework governing startup investment, including the Securities Act of 1933 and the Securities Exchange Act of 1934. โข State Securities Laws (Blue Sky Laws): Exploring the role of state laws in regulating securities offerings, registration requirements, and exemptions. โข Regulation D and Private Placements: Delving into Rule 506(b) and 506(c) offerings, bad actor disqualification, and the process of conducting a private placement. โข Crowdfunding and Title III of the JOBS Act: Examining the rules and regulations surrounding crowdfunding, investor limits, and reporting requirements. โข Regulation A+ and Mini-Public Offerings: Learning about Tier 1 and Tier 2 offerings, qualification process, and ongoing reporting obligations. โข Investment Company Act of 1940 and Investment Advisers Act of 1940: Understanding the implications of these acts on startup investment compliance and the role of investment advisers. โข Anti-Money Laundering (AML) and Know Your Customer (KYC): Implementing AML and KYC policies and procedures for startup investment due diligence. โข Compliance Programs and Internal Controls: Designing, implementing, and monitoring effective compliance programs and internal controls. โข SEC Enforcement Actions and Legal Liabilities: Examining notable SEC enforcement actions and understanding the potential legal liabilities for non-compliance.
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