KYC/AML compliance as a competitive advantage for financial institutions
KYC/AML compliance shortcomings and opportunities By Vanessa Malone In the last few months, major cracks have been revealed in the current Know Your Customer “KYC” and anti-money laundering “AML” compliance landscape for financial institutions. In May 2020, a leaked bulletin prepared by the U.S. Federal Bureau of Investigation reported that bad actors are likely using […]Continue Reading
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Key takeaways from our capital raising webinar
By Vanessa Malone This week, Horizon, Finceler8, and the UK Department for International Trade (DIT) hosted a webinar to discuss the state of capital raising with a focus on regulatory and fintech challenges across the U.S. and U.K. Panelists included Jessica Bartos, Investment Manager at Albion VC who has advised companies and investors like AT&T, […]Continue Reading
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Horizon listed in the FINRA Compliance Vendor Directory
Horizon aims to supply broker dealers and other securities firms with integrated KYC/AML compliance solutions This week we announced that Horizon Fintex (Horizon) is now listed in the FINRA Compliance Vendor Directory (CVD), a resource developed to help regulated firms better locate and assess vendors providing compliance-related products and services. The listing affirms our commitment […]Continue Reading
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Horizon $5M Series A Funding Round now open for investments
Own a piece of the fintech company unlocking global retail liquidity in the multi-billion dollar crowdfunding market By Vanessa Malone Due to the unforeseen circumstances caused by the COVID-19 pandemic, Horizon took a pause on capital raising and instead focused our efforts on enhancing our securities technology ecosystem and creating meaningful partnerships with whom to […]Continue Reading
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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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