Compliance

The SEC’s New 506(c) Guidance: Is Self-Certification Making a Comeback?

Compliance Shanelid -
The SEC's New 506(c) Guidance: Is Self-Certification Making a Comeback? For years, one of the biggest frustrations surrounding Regulation D offerings, particularly Rule 506(c), has...

Has VerifyInvestor Evolved From Verification Provider to Investor Distribution Network?

Compliance Shanelid -
A Crowdfund Watchdog Investigation For more than a decade, accredited investor verification providers have played a critical role in the crowdfunding and private capital markets...

Crowdfund Forensics Flags SimulTrayd as a High-Risk Issuer Following Disclosure Review

Compliance Taylor -
Crowdfund Forensics has completed an independent disclosure and investor-risk review relating to Ex-Im America Ltd d/b/a SimulTrayd, an issuer...

Crowdfund Forensics

Crowdfunding Brian -
We are pleased to announce the launch of our new Crowdfund Forensics division. Independent Due Diligence for Equity Crowdfunding.We...

Is Fund Finance a Legit Crowdfunding Platform or a Ponzi Scheme? What Investors Need to Know

Compliance Taylor -
When a financial platform promises investors “daily income up to 5.11%” with no lock-ins and instant withdrawals, most seasoned...

Financial Conduct Authority (FCA) is set to unveil its final rules for Public Offer Platforms (POPs)

Compliance Taylor -
The Financial Conduct Authority (FCA) is set to unveil its final rules for Public Offer Platforms (POPs) in summer...

Dalmore Group LLC Fined $415,000 Through FINRA Enforcement

Compliance Shanelid -
Dalmore Group LLC, a Woodmere, New York-based broker-dealer, recently found itself in the regulatory spotlight following significant enforcement action...

Navigating the New Crowdfunding Rules: FCA’s Fight Against Unregulated Investments

Compliance Sabrina -
In a bid to bolster investor protection and ensure the integrity of the financial markets, the UK’s Financial Conduct...
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