Hiring a new employee can be challenging in any environment, but it’s even harder in the securities industry.  Employee not only have to be the […]

Securities legislation is quite clear on what courses and designations you need in order to register in the various categories, but what relevant experience is […]

The term ICO has been very confusing to the investing market, even those selling ICOs have no understanding of it — when you start asking […]

Dealing Representatives are only allowed to sell products that have been approved by the Chief Compliance Officer (CCO) — and only after they’ve been trained […]

Those that can remember the wild wild west of crowdfunding back in 2010-2011 will have a feeling of dejavu seeing the 2017 ICO market take […]

I know what you are thinking, why on earth do a blog regarding a hashtag.  Clearly everyone knows what Investor Relations (IR) is and how […]

Think of yourself standing in front of a room full of strangers, about to give a speech on particle physics.  You don’t know if they […]

Compliance Review Compliance reviews by regulators follow a prescribed format depending on what has triggered the visit, whether a full compliance review, targeted review or […]

We are so excited to be celebrating the 2nd year anniversary of the KoreConX all-in-one business platform launch.  It’s amazing how fast the past 2 years have gone by.  We have made friends all over the world who have shared their stories of how they use KoreConX to manage their investments with our Portfolio Management tool and how managing their companies corporate information is so easy.

The All-in-ONE platform The promise land of technology since the early days (going back to the 80’s) was to have one platform to make us […]

Each interview I’ve had in the past two weeks has asked a question about how some companies or outsiders believe that having a large pool […]

Welcome to the KoreConX blog. You are probably wondering who we are and what we do? As our first blog, we wanted to start by […]

Are you spending too much time on compliance and getting frustrated with all the paperwork? Compliance Officers have to deal with compliance and regulatory issues on […]

Regulators are paying increasing attention to firms’ compliance structures to ensure there is a system of control and supervision in accordance with securities rules and […]

Just raised money via crowdfunding? Have you raised money traditionally several times and have lots of shareholders to manage? So, what is the best way […]

All too often, the responsibility of a company raising capital is left in the hands of a few people…and that weighs on them, affecting everyone. […]

Advisors have a duty to act fairly, honestly and in good faith with clients. To meet these obligations, they must know their clients, understand the […]

I think you should get naked. There’s a reason why people have nightmares about being naked in front of a crowd, and it’s because they […]

So, you’re thinking of setting up your own Exempt Market Dealer “EMD”. Starting your own firm, along with the additional compliance responsibilities, can be daunting, […]