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04-30-21

Regulatory Concerns Grow for SPACs

On March 10, 2021, the SEC published an alert in which the Office of Investor Education and Advocacy cautioned investors to be wary of buying into SPACs on the basis of endorsements by celebrities. That alert came out only three months after the SEC Division of Corporation Finance issued its own disclosure guidance on the investment mechanism. FINRA also recently weighed in on emerging anti-money laundering risks associated with SPACs. These efforts indicate that the regulators are paying close attention to the increasing—some say frenzied—popularity of SPAC investments during the current market volatility. In this updated article, Bates takes a closer look at the emerging SPAC risks, heightened regulatory concerns, and regulatory guidance.

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Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

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