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Author: Tim Boykin

Tim Boykin

Tim focuses on strategic, firm-wide risk management, including cybersecurity and regulatory matters. His goal is to provide excellent customer service, while appropriately limiting liability, for WealthForge’s internal and external clients and stakeholders. Tim earned a bachelor’s degree from the College of William and Mary and received a JD and MBA from the University of Richmond. He holds the CIPP/US certification.
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Alternatives Fintech Straight Through Processing

Are Electronic Signatures Valid for Alternative Investments?

New technology tools have enabled online processing of alternative investments. However, a fundamental question when using such ...
Tim Boykin October 10, 2019 0

Alternatives Fintech Cybersecurity Sponsors

A 3-Part Cybersecurity Framework for Alternative Investment Sponsors

Sponsors of alternative investments are increasingly turning to technology to assist with investor data collection, processing, ...
Tim Boykin June 28, 2019 0

Fintech Cybersecurity

Lessons from Facebook’s Follies: Are you Doing Enough to Protect your Investors’ Privacy?

As you’ve probably seen, Facebook has recently been in the news for all the wrong reasons. Facebook’s CEO, Mark Zuckerberg, has ...
Tim Boykin April 16, 2018 0

Real Estate

The Howey Test: When is a Real Estate Interest a Security?

The real estate industry adopted the provisions of the JOBS Act, particularly general solicitation using 506(c), earlier and more ...
Tim Boykin April 10, 2018 0

Real Estate

4 Lessons to Learn from a Recent FINRA Enforcement Action

  FINRA recently filed a disciplinary proceeding against a large southeastern broker dealer and two of its principals. The ...
Tim Boykin November 27, 2017 0

Cybersecurity

4 Steps to Ensuring Your Company’s Cybersecurity Program is Up-to-Date

What is the difference between privacy and cybersecurity? Privacy generally applies to an individual’s right to not have his or ...
Tim Boykin July 10, 2017 0

Are You Confident Your Marketing Practices are Legal?

Two recent cases once again highlight the importance of following the broker registration requirement under Rule 15(a) of the ...
Tim Boykin February 14, 2017 0

50 Times the Headache: State Registration of Issuers and their Agents

As evidenced by the Electoral College system’s effect on our recent presidential election, states continue to hold tremendous ...
Tim Boykin November 18, 2016 0

SEC

The Broker Registration Requirement and its Enforcement

The JOBS Act and related regulations have undoubtedly led to new developments in the private equity arena. One effect has been ...
Tim Boykin September 29, 2016 0

SEC

Unregistered broker-dealer services can be illegal...and costly.

Last month, in our blog post "Unregistered? You might be breaking the law... and the SEC is watching.," we discussed the ...
Tim Boykin July 6, 2016 0
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