Tag: compliance

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...

Possible shake-up in New Zealand’s equity crowdfunding regulations

Asia Pacific Taylor -
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

Crowdfunding Shanelid -
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

Compliance Sabrina -
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

Compliance Shanelid -
This is an opinion piece based on my personal research into Wefunder. Let’s talk about a major shake-up in the...