Tag Archives: Compliance

OTC Markets Publishes Lists of April Compliance Downgrades & Caveat Emptor Designations

Last week, OTC Markets Group published the lists of downgrades from its OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of April. This list is part of OTC Markets’ initiative to disseminate, on a recurring monthly basis, a list of downgrades from its respective OTCQX and OTCQB markets as well as a separate list of Caveat Emptor Designations that have occurred

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OTC Markets Publishes Lists of March Compliance Downgrades & Caveat Emptor Designations

Last week, OTC Markets Group published the lists of downgrades from its respective OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of March. This list is part of OTC Markets’ initiative to disseminate, on a recurring monthly basis, a list of downgrades from its respective OTCQX and OTCQB markets as well as a separate list of Caveat Emptor Designations that have

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OTC Markets Publishes Lists of February Compliance Downgrades & Caveat Emptor Designations

This week, OTC Markets Group published the lists of downgrades from its respective OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of February. This list is part of OTC Markets’ new initiative to disseminate, on a recurring monthly basis, a list of downgrades from its respective OTCQX and OTCQB markets as well as a separate list of Caveat Emptor Designations that

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OTC Markets Publishes Lists of January Compliance Downgrades & Caveat Emptor Designations

This week, OTC Markets Group published the lists of downgrades from its respective OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of January. This list is part of OTC Markets’ new initiative to disseminate, on a recurring monthly basis, a list of downgrades from its respective OTCQX and OTCQB markets as well as a separate list of Caveat Emptor Designations that

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Planet MicroCap Podcast: MicroCap Corporate Governance, Compliance and Avoiding Badly Structured Financing Vehicles

In this episode of Planet MicroCap Podcast, Robert Kraft spoke with Jacob Ma-Weaver, Portfolio Manager at San Francisco-based investment advisor, Cable Car Capital. When it comes to Ma-Weaver’s MicroCap investing strategy, the focus, and hope, is that management stresses – corporate governance, – avoids badly structured financing vehicles and – stay within compliance. In this episode listeners learn more about

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Tips For Saving On MicroCap Compliance Costs

In a LinkedIn post last week, Andrew Befumo -(CEO of Small Biz Support, LLC) shared some advice for “Saving On Small-Cap Compliance Expense“. According to Befumo, “as much as 60% of the legal costs of running a smaller public company could be saved if the company knew how to talk to the lawyers, accountants, auditors and other professionals that serve them.”

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An Overview of Finders’ Fees for MicroCap Professionals

  Finders’ fees are a constant point of confusion for microcap management teams. Securities attorney Laura Anthony an overview of “The Payment Of Finders’ Fees- An Ongoing Discussion” on her blog. In general, finders are still a very grey area of finance. Many agree that finders play an important role in helping small businesses source capital in situations too small for traditional broker-dealers.

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