Posts By: Dave Thayer

How Representation & Warranty Insurance Creates Healthier Transactions

January 25, 2021 | Articles

Transactions are inherently risky, giving rise to contentious negotiations over representations and warranties and related indemnification provisions. The rise of R&W insurance is smoothing the way to faster and less contentious closings. By Dave Thayer. Buyers and sellers come to the transaction table wanting the best price at the lowest risk, and ready to do… Read more »

SEC Commissioners divided over “new category” for finders

January 25, 2021 | Articles

Where does this leave businesses in need of capital? By Dave Thayer. The trouble with finders continues and much of it is self-imposed by the Securities and Exchange Commission (SEC), which has proposed exemptive relief for unregistered finders.[1] The proposed rule, released on Oct. 7 , 2020, would provide a new limited, conditional exemption from… Read more »

Seven Key Factors for Family Business Survival

November 11, 2020 | Articles

By Dave Thayer, originally featured in Wealth Management. The generational transition of a family-owned business is rarely a clean and simple process, and not all businesses succeed. Learn about how to increase the odds by addressing key factors for family business survival. The generational transition of a family-owned business is rarely a clean and simple… Read more »

COVID-19 Raises Legal Pressures on Businesses

March 30, 2020 | Articles

Business contracts and financial agreements may have hidden risks triggered by today’s pandemic. Curb those risks with a real-time review of your operating agreements and legal contracts. Here’s where to start.

Securities and Exchange Commission Provides COVID-19 Relief

March 24, 2020 | Articles, News

By Dave Thayer The SEC recently issued orders (Release No. IA-5469 and Release No. 34-88318) providing conditional regulatory relief and assistance to reporting companies impacted by the COVID-19. If certain conditions are met, the order provides companies an additional 45 days to file certain Securities and Exchange Act of 1934 (the “Exchange Act”) reports otherwise… Read more »