Compliance Services
Raising money for a flourishing business is challenging, and challenge of meeting all regulatory compliance requirements can be an overwhelming, both in time and money. Many corporations and municipalities rely on legal firms and/or escrow agencies to provide the verification of potential investors, as required by the regulations established by the Securities Exchange Commission (SEC).
When handled by legal firms, this process can be very costly, often has a slow turnaround time, and can hold up onboarding of investors and capital access. Compliance and Settlement Services (C&SS) offers a unique, cost-effective way to comply with verification requirements on behalf of a client company's securities offering.
Rapid Turnaround Time
C&SS provides a rapid turnaround time, and a complete digital package of all the documents evidencing compliance of each investor upon the closing of a client company's offering. This digital package remains archived for 90 days, unless specifically requested otherwise.
Processing Of Documents
C&SS prepares the client company's provided offering documents (Private Placement Memorandum, prospectus, and/or subscription agreement), and processes the digital delivery and electronic signature acquisition. C&SS can also provides verification and processing of offering documents by mail, FedEx, or UPS, depending on the preference of the client company or its potential investor.