White Paper: Compliance Considerations for SPAC Sponsors

Author

Betsy Cottam

Publish Date

Type

Report

Topics

  • Compliance

Special purpose acquisition companies (commonly referred to as “SPACs” or blank-check companies) have gained the attention of the U.S. Securities and Exchange Commission (SEC). Whether SPACs are a passing fad or a lasting form of taking companies public, firms sponsoring SPACs need to consider several operational and compliance considerations.

In our newest white paper, we explore the many operational and compliance concerns asset managers should keep in mind when sponsoring a SPAC.

Topics include:

  • Formation and operational considerations for SPACs
  • Regulatory interests
  • Compliance Considerations including:
    • Marketing
    • Proper due diligence on Targets
    • Potential areas for conflicts of interest
    • Form ADV
    • Compliance manual / ancillary policies
    • Code of ethics
    • Regulatory filings
    • SEC examinations

Download here

For more information

As new rules and regulations are adopted and the regulatory landscape evolves your compliance manual must keep pace or risk leaving your firm exposed.

Our compliance consulting team can assist you with developing and maintaining your compliance manual, policies, and procedures for a range of topical challenges.

If you have any questions or would like to discuss your firm’s unique compliance concerns with our team contact us here.