Why it’s time for your broker-dealer firm to update its data management infrastructure

By Horizon’s Chief Information Officer Peter Hall & Vanessa Malone Current data management landscape So far in 2020, FINRA has taken disciplinary action against 5 firms and 100 individuals for compliance issues surrounding information management or for failing to produce information in a timely manner.¹  With the world’s sudden and forced transition to remote offices […]Continue Reading

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The importance of Know Your Customer (KYC) for securities offerings

What you need to know about KYC and how to keep your securities offering compliant and competitive in 2020 By Vanessa Malone The exempt securities offering market is on the rise. In 2019, 69.2% of all new capital raised was through an exempt securities offering. With the SEC’s newly proposed set of amendments to harmonize common […]Continue Reading

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The missing link in Reg CF and Reg A+ securities offerings

By Vanessa Malone As we discussed in last week’s blog, the amount of capital raised through exempt securities offerings has outpaced the level of capital formation through registered securities offerings. The SEC’s recent capital formation report outlines a set of amendments to simplify and improve common securities exemptions issuers utilize to raise capital. Included in the proposal, […]Continue Reading

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A new wave of investment opportunity may be coming to U.S. investors

By Vanessa Malone Currently, companies seeking to raise capital by issuing securities go about it in two ways. They could register and offer their securities to the public through what’s known as an initial public offering “IPO” or they could issue their securities to select investors through what’s known as a private placement. Under federal […]Continue Reading

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What is Anti-Money Laundering (AML)?

What is anti-money laundering “AML” and how can you stay compliant in 2020?( By Vanessa Malone What is anti-money laundering, or AML? Anti-money laundering refers to a set of rules and regulations financial institutions must adhere to in order to help detect and prevent money laundering, fraud, and terrorist financing. The legislative framework these rules come from […]Continue Reading

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Why emerging technology is positioned to pull through the economic downturn

By Vanessa Malone The COVID-19 pandemic has rapidly escalated around the globe, creating economic impacts on top of health impacts that everyone is attempting to navigate. The stock market is now deep into a bear market. The Dow Jones Industrial Average experienced the biggest one-day drop since 1987, falling nearly 10% last Thursday. Investors are […]Continue Reading

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SEC proposes amendments to popular capital raising vehicles Reg A+, Reg D, & Reg CF

Proposed amendments to the trillion dollar securities exemption market and the tech out there to help issuers streamline the capital raising process By Vanessa Malone Last week, the Securities and Exchange Commission (SEC) announced that it has voted to propose a set of amendments to simplify and improve common securities exemptions issuers use to raise capital. […]Continue Reading

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Why financial institutions should look to the blockchain for customer onboarding

How blockchain can help enhance KYC/AML requirements By Vanessa Malone With the ever-increasing Know Your Customer (KYC) and Anti-Money Laundering (AML) compliance requirements companies are facing in the financial services arena, deploying technology solutions to keep up has become more of a mandate than a recommendation. Global penalties for financial institutions have reached $36 billion […]Continue Reading

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Cost Benefits of Tokenization vs. Traditional Private Placement (updated for 2020)

By Horizon & Entoro Key discussion points: How Entoro’s offerings analysis shows savings may be 40% less expensive using tokenization versus a traditional method of raising capital What the true tangible and intangible benefits digital securities have over traditional private placement How existing capital market participants are integrating blockchain technology to support the new age of […]Continue Reading

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The chicken and the egg problem for digital securities exchanges

What’s the current state of digital securities exchanges and how to increase adoption By Vanessa Malone Security Token Market recently put out a report discussing the current state of security token trading, also known as digital securities. In their research, they identified 60 digital securities exchanges around the world. Of those 60, only 3 regulated exchanges […]Continue Reading

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