Tagged: suitability

Caution: Online Funding Platforms Will Encounter More Regulatory Scrutiny in 2019

On January 22, 2019, the Financial Industry Regulatory Authority (FINRA) released its examination priorities for 2019.  At the top of the list was online funding platform compliance with the securities laws. With an uptick in the offer and sale of securities offerings online with Rule… Read More

Due Diligence Counts: FCA Publishes Report on Research & Suitability

The Financial Conduct Authority (FCA) has published a report on due diligence and assessing suitability of investments for clients. This is an important subject for traditional finance, as well as new asset classes. As all finance moves online access to investment opportunity will expand to… Read More

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