Most of us invest. We read the business news, we read the national and international political news, we rely on research and analysts and our personal observation of trends, products and the like. It seems we are missing important data, … Continue reading
Stephen Honig
For decades, the SEC (and state securities regulators) have interpreted the broker/dealer registration requirements to cover “finders,” who were deemed to be broker/dealers (in the business of selling the securities of others) and who thus had to be registered as … Continue reading
Edward Snowden, the person who leaked the National Security Administration documents, has set off a public dialogue of sweeping proportion, bringing substantial changes to the way in which the American press operates, and raising questions as to whether laws should … Continue reading
The app “A Word A Day” noted recently that Stellenbosch as a verb means to be demoted to a useless job without loss of rank. Comes from the town of the same name in South Africa, which today is wonderful, … Continue reading
This past week I joined seven of my partners at the annual JP Morgan Life Science conference in San Francisco. This is a frenzied gathering of life science and health care companies of all sorts, together with Private Equity firms, … Continue reading
Seems all I get to post is Foreign Corrupt Practices Act news, but (aside from the regulatory woes of the banking system) the FCPA is the big news for companies outside of financial services. Today the SEC announced $384 Million … Continue reading
Midst all the fines, penalties and recoveries against banks, we tend to get jaded about large settlements with governmental investigators. But the Foreign Corrupt Practices Act continues to provide us with mega-penalties for US companies which bribe government officials, and … Continue reading
At its December 10th breakfast meeting, the New England Chapter of the National Association of Corporate Directors explored the learning from the 2013 compensation season and it’s ramifications for 2014. The panel included a couple of directors of public companies, … Continue reading
When you are financing an emerging enterprise, the entrepreneur should forget about comparing valuations. Pick the investment partner with whom you have trust and share a chemistry. And, ignore the websites of the investor; they are unreliable. Furthermore, to be … Continue reading
I thought it might be interesting to provide hightpoints of a program on non-profit governance held this morning by the National Association of Corporate Directors of New England. The panel: Mary Beckman, chief of the Public Charities Division of the Mass … Continue reading