News & Analysis as of

Capital Raising Due Diligence

Levenfeld Pearlstein, LLC

Independent Sponsor Series – Capital Provider Spotlight: A Conversation with Paul Moffatt of Encore One (Part Two)

To help businesses, investors, and deal professionals better understand the evolving independent sponsor landscape, Robert Connolly – a partner in LP’s Corporate Practice Group and leader of LP’s Independent Sponsor team –...more

Levenfeld Pearlstein, LLC

Independent Sponsor Series – Capital Provider Spotlight: A Conversation with Paul Moffatt of Encore One (Part One)

To help businesses, investors, and deal professionals better understand the evolving independent sponsor landscape, Robert Connolly – a partner in LP’s Corporate Practice Group and leader of LP’s Independent Sponsor team –...more

Seward & Kissel LLP

Shortening the Capital Raising Process

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We have recently witnessed a noticeable lengthening of the time needed to close on an institutional investor’s fund allocation. Anecdotally, the typical time frame to close on an institutional investor allocation appears to...more

Levenfeld Pearlstein, LLC

Independent Sponsor Update: Key Takeaways from Q1

The year is off to a busy start for us: In addition to deal work and portfolio company matters, our team attended conferences and met with various capital providers, independent sponsors, placement agents, and service...more

Skadden, Arps, Slate, Meagher & Flom LLP

Skadden’s 2023 Insights – Five Critical Areas for the Year Ahead

The pandemic’s impact may be subsiding, but businesses are encountering new challenges across the globe, including the potential for an economic retrenchment, rising interest rates, shifting regulatory and litigation...more

Mayer Brown Free Writings + Perspectives

What’s the Deal? – Initial Public Offerings: Pre-Filing Period

Here’s the deal: - The pre-filing period is an important part of an initial public offering (“IPO”), requiring a number of management, organizational considerations and structural changes before a company can effectuate...more

BCLP

FCA finalises its rulebook for the new UK authorised open-ended fund to invest in illiquid assets: the Long Term Asset Fund (LTAF)

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The FCA’s Policy Statement published on 25 October 2021 provides feedback to its May 2021 consultation (the Consultation) and sets out the final rules and guidance for the new authorised open-ended fund regime to invest in...more

Farrell Fritz, P.C.

“Do Your Homework!”: SEC Order Sends Strong Message to SPAC Participants on Due Diligence

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The Securities and Exchange Commission announced on July 13, 2021 that it settled fraud charges against a special purpose acquisition company, its sponsor, its sponsor’s CEO and its proposed merger target for making...more

K2 Integrity

SPACs and CFIUS: Due Diligence Considerations

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Special purpose acquisition companies (SPACs), which provide unique opportunities to raise capital from a diverse group of investors and invest in companies, are currently flourishing as investment vehicles. The United States...more

McCarter & English, LLP

Finders Keepers

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SEC Proposes to Allow Finders to Receive Transaction-Based Compensation in Certain Limited Circumstances Without Having to Register as a Broker-Dealer- In an effort to help small and emerging businesses raise capital, the...more

Barnea Jaffa Lande & Co.

Looking for a Venture Capital Fund to Invest in You? Here's How to Do It Right

Raising capital is one of the main issues that preoccupies entrepreneurs on a daily basis. Whether you are in the initial startup stage imagining an idea that may become reality or possess an advanced product looking to make...more

Bricker Graydon LLP

Compliance programs: A strategic competitive advantage for FinTechs

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When you think about a strategic competitive advantage in the FinTech world, the first thing to come to mind isn’t compliance programs. In the FinTech world, compliance programs aren’t generally thought of as a strategic...more

Foley & Lardner LLP

Is my Advisor a “Finder” or a “Broker”? Avoiding the Pitfalls of Raising Capital Using Unlicensed Broker-Dealers

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Companies seeking to expand operations often face numerous challenges. One such challenge is raising the capital necessary to make such an expansion possible. When a company sees an expansion opportunity but does not have the...more

WilmerHale

Legal Considerations in Pre-IPO Crossover Financings

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An increasingly common financing strategy for companies expecting to conduct an initial public offering (IPO), particularly in the life sciences space, is to conduct a ‘‘crossover’’ financing shortly prior to the IPO....more

Foley & Lardner LLP

Tips for Expanding Your Investor Network from Coast to Coast

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With a competitive marketplace, new technology companies may find that they need more capital to accelerate their company’s growth. The question becomes how to effectively approach investors outside the company’s geographical...more

McCarter & English, LLP

Delaware Domicile

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The appropriate legal domicile for the company’s organization and filings. In almost every case, Delaware is the appropriate choice. Despite media insinuations, Delaware is not a tax haven. State income taxes are levied on...more

Cadwalader, Wickersham & Taft LLP

Securitisation: Keeping it Simple?

On 30 September 2015, the European Commission (the “Commission”) published a proposal for a regulation (the “Proposed Regulation”)1 intended to harmonise existing EU laws applying to securitisations (including proposed...more

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