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...
by Oscar Jofre | Aug 7, 2024 | Broker-dealers
Artificial Intelligence (AI) is rapidly transforming industries, and the financial sector is no exception. AI offers numerous potential benefits for broker-dealers, including enhanced customer service, improved risk management, and streamlined operations. However,...
by Oscar Jofre | Jul 24, 2024 | Broker-dealers
In July of 2024, FINRA published its 2024 Industry Snapshot, the yearly statistical report on registered representatives, brokerage firms, and market activities regulated by the organization. In today’s article, we’ll discuss this report and provide useful...
