A large majority (75%) of anti-money laundering (AML) professionals believe the current geopolitical landscape presents new risks and challenges for preventing financial crime at their organisations, according to a joint survey by SWIFT and Dow Jones Risk & Compliance. To address these risks, more than half… Read More
Speaking on a panel at the 4th Annual CrowdfundingUSA Conference today, Sarah Hanks, CEO and Founder of CrowdCheck Inc., talked about some of the compliance issues facing Regulation CF issuers. Issuers Are Not Filing Annual Reports One of the biggest issues discussed was the ongoing reporting… Read More
Last week, TABB Group released a report entitled “Financial Markets: Embracing RegTech” which focused on the growing issue of increasing regulatory compliance facing financial institutions today. TABB Group is an international research and consulting firm focused on capital markets. Problem: Increasing Regulations Post-2008 The global financial… Read More
Real estate crowdfunding software provider, Katipult, announced this week it is looking to establish its compliance solution in various countries outside the U.S. including UK, Singapore, Australia & Canada. The announcement came at a private investor event facilitated by the Global Fintech Group, where the company… Read More
“We believe the potential of crowdfunding is not about a single company or single crowdfunding platform. It is about the evolution from an institutional framework for allocating capital (otherwise known as banks, funds, and foundations) to a more individually driven framework enabled by existing and… Read More
Title II of the JOBS Act allowed companies raising capital using private placements to advertise the investment opportunity. Think about it. If you were trying to sell your house but were not allowed to advertise it would be pretty hard. Well “general solicitation” as it… Read More
Intrastate crowdfunding exemptions are on the rise as legislators continue to exhibit interest in allowing small businesses to raise money online. However, several questions remain regarding how to effectively advertise these offerings without running afoul of securities regulations. According to an article in the National… Read More
SeyfarthLean Consulting, a sister company associated with Chicago based global law firm Seyfarth Shaw, is entering a new business. Recognizing the dynamic changes the future holds with the advent of the JOBS Act and crowdfunding, the firm saw opportunity in a new emerging type of securities… Read More
On the calendar for January 30, 2014 is the Securities and Exchange Commissions (SEC) Compliance Outreach Program National Seminar 2014. Outside of an expected welcome from Chair Mary Jo White the event will address a wide range of topics on compliance and enforcement issues…. Read More
Crowd Valley is a white label crowdfunding service provider providing end-to-end solutions for those looking to launch crowdfunding platforms. The company has now announced a partnership with Sapphire Capital Partners LLP, an FCA-authorized firm specializing in alternative invesments, and specifically EIS and SEIS compliance. This… Read More
Title III of the JOBS Act stands to legalize the participation of non-accredited investors in crowdfunding offerings. One of the wildcards in the approach up to the implementation of Title III is the cap on how much an individual is allowed to invest per year,… Read More
BancBox, a leading payment services provider, announces today the public launch of BancBox Crowd, the first independent escrow service for equity, debt and revenue share crowdfunding portals. Additionally, the company is announcing partnerships with leading crowdfund investing services 99Funding, SoMoLend, and Localstake. “The services provided by… Read More
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