Tagged: violation

China’s Securities Regulator Says Online Brokerage Platforms Futu Holding, UP Fintech Holding Conducted Unlawful Securities Transactions

China’s securities regulator stated on Friday (December 29, 2022) that online brokerage platforms Futu Holding and UP Fintech Holding have allegedly carried out unlawful securities businesses/transactions, and will now be banned from opening new accounts from mainland China investors. The penalty comes after over a… Read More

Failure to File Ongoing Reports Could Lead to ‘Permanent Put’ on Reg CF Issuers

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

Nintendo Reportedly Pulls the Plug on Unlicensed “Zelda” Web Series Kickstarter Project

Last week, a Kickstarter by Salt Lake City’s independent studio, Aeipathy Industries, was launched for a Zelda web series, Zeldamotion. This YouTube sensation’s story reads: “The land of Hyrule has been overtaken by the cunning wizard Agahnim, who is sacrificing the descendants of the seven sages in… Read More

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