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