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Who regulates the Agentiq offerings

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Written by Zach Kurtz

Agentiq’s securities offerings operate within a regulatory and third-party service-provider framework. The applicable Offering Circular identifies the issuer, intermediaries, service providers, and their precise responsibilities and controls over this Help Center summary.

Regulatory oversight

U.S. Securities and Exchange Commission

The U.S. Securities and Exchange Commission, or SEC, administers the federal securities laws that apply to Agentiq offerings and applicable Series reporting obligations. For a Regulation A offering, the SEC reviews the offering statement and must qualify it before sales may begin. The SEC may also review filings, reporting, disclosures, and compliance with applicable federal securities laws.

SEC qualification permits sales of a qualified offering. It is not SEC approval, recommendation, endorsement, an audit of investment quality, verification of projections or valuation, or a suitability determination.

Financial Industry Regulatory Authority

The Financial Industry Regulatory Authority, or FINRA, regulates registered broker-dealers such as Andes Capital Group, LLC. FINRA oversight applies to Andes’s broker-dealer activities, including applicable sales-practice, communications, supervision, recordkeeping, and other member obligations.

FINRA does not approve or endorse an Agentiq offering or determine that an investment is appropriate for a particular investor.

Key service providers

Andes Capital Group, LLC — Broker-dealer

Andes Capital Group, LLC serves as the broker-dealer for applicable Agentiq offerings. Andes performs the functions described in the applicable Offering Circular and subscription materials, which may include investor onboarding and review, regulatory checks, subscription processing, and offering-related broker-dealer activities.

Andes acts on a best-efforts basis. It is not obligated to purchase Units, guarantee that Units will be sold, assure any offering amount, or recommend an investment merely by serving as broker-dealer.

Superstate — Transfer agent

Superstate serves as the transfer agent for applicable Agentiq Series. In that role, Superstate maintains official Unit-holder ownership records and performs applicable issuance, transfer, recordkeeping, and related transfer-agent functions described in the offering documents.

Transfer-agent recordkeeping does not guarantee the value, liquidity, transferability, or future performance of any Unit.

North Capital — Technology partner

North Capital serves as a technology partner supporting portions of Agentiq’s offering and investment infrastructure. Its role is technological and operational as described in current agreements and offering materials; North Capital should not be described as Agentiq’s transfer agent, offering broker-dealer, regulator, or guarantor unless a current governing document expressly assigns an additional role.

Use of third-party technology does not guarantee uninterrupted service, subscription acceptance, settlement, investment performance, or liquidity.

Independent third-party CPAs

Independent third-party certified public accountants audit applicable financial statements and may perform other professional services within the scope of their engagement and applicable standards. Those audits provide independent examination of the financial information covered by the audit; CPAs do not regulate Agentiq, approve an offering, endorse an investment, verify future projections, guarantee the absence of error or fraud, or assure investment performance.

Important limitations

The applicable Series is the issuer of its Units. Investor eligibility, investment limits, KYC/AML and sanctions review, lawful jurisdiction, cleared funds, the subscription agreement, and Series acceptance still apply.

Regulatory oversight, broker-dealer participation, transfer-agent services, technology support, and independent audits do not eliminate risk. No public trading market currently exists for the Units, and investors may lose their entire investment.

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