SEC and State Compliance Part 2: Improper Structures in Syndications and Funds

Part 2 of our series on staying in compliance and common probelms that regulators are keen to. The world of securities law can seem complex, but understanding key issues can help you stay in line with regulations. This content delves into the three common structures that can potentially lead to legal complications, namely improper structures, compensation of investors, and funds of funds. Improper structures often result from misunderstandings of joint ventures and can lead to severe consequences. Understanding the dynamics of compensation of investors is also crucial as non-disclosure of compensation models can lead to legal issues. Finally, the concept of 'funds of funds' is explored, highlighting the importance of proper setup and compliance with securities laws. It's a comprehensive look at these key areas, providing essential insights for those involved in securities offerings and syndications.

Read more about the SEC and Reg D - The SEC And It’s Reg D: https://www.moschettilaw.com/sec-reg-d/

Read more about Reg D - What is Reg D? The King of Securities Exceptions: https://www.moschettilaw.com/reg-d/

Moschetti Syndication Law Group is a boutique syndication law firm, serving small and growth-bound syndicators, as well as private equity firms. Our attorney, Tilden Moschetti, is determined to keep the firm’s ‘boutique’ size so we can tailor the services to each client’s unique needs without turning the firm into a faceless factory churning out private placement memorandums or passing unnecessary overhead expenses onto our clients. (As our client, you’ll only pay a fixed fee, so no surprises.) As for the client experience, we give real-time answers with Tilden Moschetti without making you book an official appointment or get passed along to associates or paralegals. We’ll work with your ambitions and overall vision to help you close the current deal and fill in that ‘missing’ piece – whatever you need – to keep adding more syndications to your portfolio. We keep syndicators syndicating (TM).

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