Private Placements and Red Flags to Look For 2015

Key Topics

• Checklist of questions and areas to look at
• What is due diligence
• Background checks
• Red flags found in the PPM or offering documents
• Broker understanding your situation well enough to tell you not to buy
• Are the financials audited or unaudited
• As a broker/dealer or registered investment advisory have you documented your review
• Are there other similar products available that are freely traded
• Has the selling firm properly trained the salesmen
• How complex is the offering

Who should Attend

• Broker dealers
• Investors
• Financial industry branch managers
• Registered investment advisors
• Financial industry due diligence staff
• Financial industry compliance officers
• Family office managers and advisors
• Pension fund managers
• Financial intermediaries
• Accountants
• Securities attorneys
• Accredited investors
• Tax personnel
• Financial Advisors
• Attorneys and legal advisors