by Oscar Jofre | Apr 9, 2018 | KoreConX
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 right choice for the firm, but they must also pass muster with the securities regulators who approve registration. In...
by Oscar Jofre | Feb 28, 2018 | KoreConX
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 sufficient is less clear cut. No matter the category you are applying under, the regulators must determine...
by Oscar Jofre | Feb 6, 2018 | KoreConX
The term ICO has been very confusing to the investing market, even those selling ICOs have no understanding of it — when you start asking questions people give you a look like a deer caught in headlights. So, what does ICO stand for? #ICO = Initial Coin Offering...
by Oscar Jofre | Jan 25, 2018 | KoreConX
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 on a product features, risks and costs. Depending on your firm’s size, product due diligence may be performed...
by Oscar Jofre | Jan 23, 2018 | KoreConX
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 off. Not that crowdfunding ever saw the numbers that we are seeing in the ICO market, but that is because the securities...
