FinCEN Files highlight glaring issues with current AML system and AML compliance programs
Considerations for financial institutions looking to re-approach their AML compliance programs By Vanessa Malone Last week, the Financial Crimes Enforcement Network (FinCEN) announced a plan to make significant reforms to the U.S. anti money laundering system. Coincidentally this announcement came just days before the release of the “FinCEN Files,” a culmination of a 16-month long […]Continue Reading
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Upcoming Webinar: Capital Raising in the Era of Digitalization: Regulatory & Fintech Considerations in the U.S. & U.K.
Hosted by Horizon, Finceler8, and UK Department for International Trade (DIT) Horizon, Finceler8, and the UK Department for International Trade (DIT) are excited to be hosting an upcoming webinar to discuss the state of capital raising with a focus on regulatory and fintech challenges across the U.S. and U.K. The live panel, including additional speakers from […]Continue Reading
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Horizon product update: APIs added to further streamline KYC/AML compliance checks
Horizon’s esteemed team of software engineers are continually working to enhance our next generation compliance solutions. We are happy to announce new APIs added to KYCware and AMLcop to further streamline onboarding, identify verification and AML screening for our existing and future clients. Existing clients can review the code on our developer portal here and […]Continue Reading
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Equity crowdfunding’s race for liquidity in the U.S. and U.K.
By Vanessa Malone Crowdfunded securities fall under the alternative investment category which typically get flagged as illiquid investments. While this may have been okay at the start, the private capital markets are evolving. Companies are staying private longer and peer to peer capital formation has seen a large uptick. U.S. based equity crowdfunding platform, Wefunder, […]Continue Reading
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The SEC amends the accredited investor rule; why it’s an important stepping stone
By Vanessa Malone This week, the Securities and Exchange Commission (SEC) made amendments to the “accredited investor” definition, expanding eligibility requirements for investors who want to participate in the private capital markets. The new amendments enable investors to qualify as accredited investors based on defined measures of professional knowledge and experience or certifications, in addition […]Continue Reading
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When the equity crowdfunding wave will become an equity crowdfunding tsunami
By Vanessa Malone As a quick refresher, equity crowdfunding is a capital raising method typically utilized by startups and small businesses, whereby a company uses the internet to sell securities (shares, debt, or other ownership rights) to a large number of customers and fans. Traditionally, early-stage investment opportunities were reserved for high-net worth individuals. Equity […]Continue Reading
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What’s your data management approach in this era of digitalization?
By Vanessa Malone With the world’s sudden and expedited transition to remote operations due to the COVID-19 pandemic, it has never been more timely to re-approach how your firm is managing and protecting its data. While many modern workplaces have undergone significant changes to adopt a cloud-first data management strategy, those in heavily regulated environments […]Continue Reading
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Mark Elenowitz | Interview with Equity Crowdfunding Pioneer Mark Elenowitz
Horizon’s President Mark Elenowitz led the first Reg A+ IPO to list on NYSE. Where does he see the future of equity crowdfunding going? By Vanessa Malone The SEC reports that the amount of new capital raised through exempt securities offerings (e.g., Reg D, Reg A+, and Reg CF offerings) has outpaced capital formation raised […]Continue Reading
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Is DeFi the next ICO bubble?
By Vanessa Malone On July 25, 2020, the amount of collateral locked in Decentralized Finance(DeFi) projects reached $4 billion, double what it was just two weeks prior. What is DeFi and where is it headed? What is DeFi? Decentralized Finance, or DeFi, falls deep within the crypto sector of fintech. It refers to digital assets, financial […]Continue Reading
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Why NBA player Dinwiddie’s token offering wasn’t a failure, just a stepping stone
By Vanessa Malone According to the Form D filed with the SEC on July 22, 2020; NBA’s Spencer Dinwiddie of the Brooklyn Nets has raised $1.35 million through a security token offering backed by his basketball contract. The goal was to sell 90 bond tokens priced at $150,000 per token. Out of the 90 tokens […]Continue Reading
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