PrivatePlacementAudit360™
Introducing PrivatePlacementAudit360™ by GiGCXOs, a comprehensive audit service designed specifically for broker-dealers to ensure that their Private Placement Memorandums (PPMs) meet all regulatory compliance standards under the Securities Act of 1933.
Key Features:
Full Regulatory Compliance Review: PrivatePlacementAudit360™ meticulously reviews PPMs to ensure they adhere to SEC Rule 506 of Regulation D, FINRA rules, and applicable state Blue Sky laws, covering all disclosure requirements and exemptions.
Risk Disclosure Audit: The service ensures that risk factors are clearly and fully disclosed, preventing potential regulatory scrutiny or investor claims related to inadequate or misleading information.
Investor Suitability: This audit includes a comprehensive review of the procedures used to verify accredited investor status and assess investor suitability in line with Reg BI requirements.
Conflict of Interest Check: PrivatePlacementAudit360™ identifies any potential conflicts of interest between issuers and investors and ensures proper disclosure and mitigation measures are in place.
Marketing Materials Compliance: The audit evaluates all marketing and offering materials related to the private placement, ensuring they comply with SEC rules, including Regulation D exemptions and FINRA’s advertising regulations.
Fiduciary Duties Compliance: It assesses whether the private placement process aligns with fiduciary duties under Regulation Best Interest (Reg BI) and the firm’s obligations to act in the best interests of their clients.
Ongoing Monitoring & Updates: This product not only audits PPMs but also provides ongoing monitoring to ensure the document stays compliant with evolving securities regulations and updates on any legislative changes impacting the private placement.
Benefits:
Reduced Regulatory Risk: Mitigates the risk of SEC and FINRA enforcement actions by ensuring compliance with private placement requirements.
Investor Confidence: Builds trust by ensuring that all disclosures and compliance processes are fully documented and in line with best practices.
Operational Efficiency: Streamlines compliance processes, allowing broker-dealers to focus on their core business while GiGCXOs handles complex regulatory reviews.
PrivatePlacementAudit360™ can be bundled with other GiGCXOs compliance solutions, such as AICompliance360™, to further automate and streamline regulatory oversight for broker-dealers involved in private placements.
What's Included?
Expert compliance staff:
Seasoned Fractional compliance resources with Series 24 FINRA license with at least 15 years of experience.
One-time fee includes one (1) annual private placement memorandum assessment and report.
Please refer to:
Introducing PrivatePlacementAudit360™ by GiGCXOs, a comprehensive audit service designed specifically for broker-dealers to ensure that their Private Placement Memorandums (PPMs) meet all regulatory compliance standards under the Securities Act of 1933.
Key Features:
Full Regulatory Compliance Review: PrivatePlacementAudit360™ meticulously reviews PPMs to ensure they adhere to SEC Rule 506 of Regulation D, FINRA rules, and applicable state Blue Sky laws, covering all disclosure requirements and exemptions.
Risk Disclosure Audit: The service ensures that risk factors are clearly and fully disclosed, preventing potential regulatory scrutiny or investor claims related to inadequate or misleading information.
Investor Suitability: This audit includes a comprehensive review of the procedures used to verify accredited investor status and assess investor suitability in line with Reg BI requirements.
Conflict of Interest Check: PrivatePlacementAudit360™ identifies any potential conflicts of interest between issuers and investors and ensures proper disclosure and mitigation measures are in place.
Marketing Materials Compliance: The audit evaluates all marketing and offering materials related to the private placement, ensuring they comply with SEC rules, including Regulation D exemptions and FINRA’s advertising regulations.
Fiduciary Duties Compliance: It assesses whether the private placement process aligns with fiduciary duties under Regulation Best Interest (Reg BI) and the firm’s obligations to act in the best interests of their clients.
Ongoing Monitoring & Updates: This product not only audits PPMs but also provides ongoing monitoring to ensure the document stays compliant with evolving securities regulations and updates on any legislative changes impacting the private placement.
Benefits:
Reduced Regulatory Risk: Mitigates the risk of SEC and FINRA enforcement actions by ensuring compliance with private placement requirements.
Investor Confidence: Builds trust by ensuring that all disclosures and compliance processes are fully documented and in line with best practices.
Operational Efficiency: Streamlines compliance processes, allowing broker-dealers to focus on their core business while GiGCXOs handles complex regulatory reviews.
PrivatePlacementAudit360™ can be bundled with other GiGCXOs compliance solutions, such as AICompliance360™, to further automate and streamline regulatory oversight for broker-dealers involved in private placements.
What's Included?
Expert compliance staff:
Seasoned Fractional compliance resources with Series 24 FINRA license with at least 15 years of experience.
One-time fee includes one (1) annual private placement memorandum assessment and report.
Please refer to:
Introducing PrivatePlacementAudit360™ by GiGCXOs, a comprehensive audit service designed specifically for broker-dealers to ensure that their Private Placement Memorandums (PPMs) meet all regulatory compliance standards under the Securities Act of 1933.
Key Features:
Full Regulatory Compliance Review: PrivatePlacementAudit360™ meticulously reviews PPMs to ensure they adhere to SEC Rule 506 of Regulation D, FINRA rules, and applicable state Blue Sky laws, covering all disclosure requirements and exemptions.
Risk Disclosure Audit: The service ensures that risk factors are clearly and fully disclosed, preventing potential regulatory scrutiny or investor claims related to inadequate or misleading information.
Investor Suitability: This audit includes a comprehensive review of the procedures used to verify accredited investor status and assess investor suitability in line with Reg BI requirements.
Conflict of Interest Check: PrivatePlacementAudit360™ identifies any potential conflicts of interest between issuers and investors and ensures proper disclosure and mitigation measures are in place.
Marketing Materials Compliance: The audit evaluates all marketing and offering materials related to the private placement, ensuring they comply with SEC rules, including Regulation D exemptions and FINRA’s advertising regulations.
Fiduciary Duties Compliance: It assesses whether the private placement process aligns with fiduciary duties under Regulation Best Interest (Reg BI) and the firm’s obligations to act in the best interests of their clients.
Ongoing Monitoring & Updates: This product not only audits PPMs but also provides ongoing monitoring to ensure the document stays compliant with evolving securities regulations and updates on any legislative changes impacting the private placement.
Benefits:
Reduced Regulatory Risk: Mitigates the risk of SEC and FINRA enforcement actions by ensuring compliance with private placement requirements.
Investor Confidence: Builds trust by ensuring that all disclosures and compliance processes are fully documented and in line with best practices.
Operational Efficiency: Streamlines compliance processes, allowing broker-dealers to focus on their core business while GiGCXOs handles complex regulatory reviews.
PrivatePlacementAudit360™ can be bundled with other GiGCXOs compliance solutions, such as AICompliance360™, to further automate and streamline regulatory oversight for broker-dealers involved in private placements.
What's Included?
Expert compliance staff:
Seasoned Fractional compliance resources with Series 24 FINRA license with at least 15 years of experience.
One-time fee includes one (1) annual private placement memorandum assessment and report.
Please refer to:
Disclaimer of Legal Advice
The Consultants of GiGCXOs are not licensed attorneys, and any advice, recommendations, or communications provided in the course of this engagement should not be construed as legal advice. Clients are encouraged to consult with qualified legal professionals for guidance on any legal matters. GiGCXOs expressly disclaims any liability arising from the interpretation or application of regulatory compliance matters that may require legal expertise.
