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Compliance Considerations for SPAC Sponsors

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.

This white paper will 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

Questions?

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