by Oscar Jofre | Jan 2, 2025 | Broker Dealer, Broker-dealers, Capital Markets, Capital Raising, Compliance, Ecosystem, FINRA
The journey of Online Capital Formation (OCF) since the signing of the JOBS Act in 2012 represents a seismic shift in democratizing access to capital markets. Initially known as “crowdfunding,” this framework has evolved into a sophisticated ecosystem that...
by Oscar Jofre | Oct 28, 2024 | Broker-dealers
Expert insights and Knowledge for all – KoreSummit The Rise In its ongoing journey of sharing educational content for the private capital markets, KoreSummit continues to excel. This was especially clear in October 2024, as the event featured not just one but...
by Oscar Jofre | Oct 7, 2024 | Broker-dealers
Online Capital Raising has opened doors for more people to invest, but the industry is constantly evolving, meaning broker-dealers must be adaptable. It’s a balancing act: staying compliant while discovering new growth opportunities. Firms like Andes Capital...
by Oscar Jofre | Sep 11, 2024 | Broker-dealers, Investors, Legal
This blog post from the Laura Anthony from Securities Law Blog, examines the SEC’s Spring 2024 regulatory agenda. The agenda, although subject to change, gives crucial insight into future financial regulations. Key areas highlighted in this edition include...
by Oscar Jofre | Aug 28, 2024 | Broker-dealers, Ecosystem, Investors, Issuers, Legal
Once considered a niche sector, private capital markets have now become a thriving source of growth and opportunity. This expansion has been driven by regulatory changes, technological innovation, and greater access to investment opportunities. In this special...
by Oscar Jofre | Aug 14, 2024 | Broker-dealers
In today’s fast-paced financial world, broker-dealers face a myriad of challenges in managing paperwork, ensuring data security, and maintaining operational efficiency. Regulatory compliance is becoming increasingly complex, while investor expectations continue...
