Tag: compliance
Dalmore Group LLC Fined $415,000 Through FINRA Enforcement
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
In a bid to bolster investor protection and ensure the integrity of the financial markets, the UK’s Financial Conduct...
Possible shake-up in New Zealand’s equity crowdfunding regulations
The article from the National Business Review (NBR) discusses the potential need for a shake-up in New Zealand's equity...
The Decline of FINRA-Regulated Funding Portals: What’s Happening and What It Means
The crowdfunding world has been buzzing with news about the decline in the number of FINRA-regulated funding portals. For...
Forcrowd Secures EU Passport: A New Era in European Crowdfunding
In an exciting development for the European crowdfunding scene, Forcrowd, an Italian equity crowdfunding platform and investee of Quantum...
Wefunder Gets a $1.4 Million Wake-Up Call from FINRA
This is an opinion piece based on my personal research into Wefunder.Let’s talk about a major shake-up in the...