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, […]

There is a lot of media focus on crowdfunding, but sometimes the types of crowdfunding are not properly distinguished. You hear a lot about the […]

The Corporate Secretary’s role to date has only been utilized, appreciated and well understood by listed companies and larger private company enterprises. Rules mandate their […]

Banks are beginning to recognise the potential of blockchain. Oscar Jofre looks at what this could mean for financial services in 2017. Blockchain is transformative. […]

Most companies go out to raise capital knowing exactly what they’ll do with the money once they have it. They’ve got an itemized plan broken […]

I’ve been in Shanghai and Hong Kong quite often over the last few months, speaking at events and meeting with partners. As a Canadian, what […]

FinTech is about to get an upgrade. In 2016, get ready to see GermTech – the entry and infectious spread of high potential German technological […]

Get your mind out of the gutter!   Now, when you first saw the title, you asked yourself what business has to do with anything […]

Like most of you today, I spend a lot of time reading about fintech. You can get massive amounts of news reports and companies talking […]

I’ve spent a lot of time in the UK lately, and it’s been on my mind even more. I was just there for the AltFi Europe […]

You might not guess it looking at me, but I <a href=”https://www.equities.com/news/electronic-dance-music-las-vegas-and-its-unlikely-savior” target=”_blank” rel=”noopener nofollow”>love trance music</a>. I have been a big fan of trance […]

The tortoise may sometimes beat the rabbit, but in technology, it’s rarely much of a race. CB Insights CEO Anand Sanwal said <a href=”https://www.businessinsider.com/vc-analyst-claims-2016-will-be-the-year-of-the-rabbits-2016-1?r=UK&amp;IR=T” target=”_blank” […]

Banking, finance, and insurance have been largely constant and unchanging for decades. It’s been the very definition of an “old boys’ club”, static, institution, monopolistic, and […]