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In the complex landscape of financial transactions, safeguarding investors and maintaining market integrity serve as the cornerstones of compliance obligations. This necessitates thorough background checks and verifications of certain parties to a transaction to mitigate risks and ensure adherence to regulatory requirements. Accredited Investor verifications and Bad Actor Verifications stand as the two key pillars in this endeavor.

Issuers are required to take reasonable steps to verify investors as “Accredited Investors” in Regulation D Rule 506(c) offerings. Accredited Investor Verifications aim to ascertain whether investors meet specific financial or professional criteria. By confirming an investor’s status as an Accredited Investor, issuers uphold investor protection and adhere to SEC regulatory mandates. These checks demand an evaluation of financial records or professional credentials to ensure compliance with the Securities Act of 1933. Learn more about our Accredited Investor Verification services here.

Bad Actor Verifications are indispensable for maintaining market trust and regulatory adherence. These comprehensive background checks scrutinize certain covered persons’ histories for any disqualifying events, including past securities law violations or fraudulent activities. By identifying and excluding disqualified parties from exempt securities offerings, issuers bolster investor confidence, mitigate legal risks, and uphold market integrity. Learn more about our Bad Actor Verification services here.

Paired together, both Accredited Investor Verifications and Bad Actor Verifications serve as indispensable safeguards in the financial realm, fostering transparency, compliance, and investor protection.