Tag Archives: compliance
NFT.NYC Welcomes the Next Wave of NFTS — Here’s Why Upstream Has the Key
By Anastasia Samaras The much-anticipated NFT.NYC took place this week, and we were thrilled to have Upstream’s Co-Founder, Mark Elenowitz, speaking on the main stage to cover key insights surrounding the future of the NFT market! From the beginning, Upstream’s NFT methodology has centered around compliance, utility, fan engagement, and accessibility for the masses. Upstream […]Continue Reading
Posted inUncategorizedLeave a comment on NFT.NYC Welcomes the Next Wave of NFTS — Here’s Why Upstream Has the Key
Genesis and Gemini’s SEC Charges Shine a Light on the Risks of Unregulated Securities
Genesis and Gemini were charged for Unregistered Offers and Sales of Crypto Asset Securities through the Gemini Earn Lending Program By Anastasia Samaras Last week, it was reported that through their cryptocurrency loan program, Gemini Earn, Genesis Global Capital, LLC, and Gemini Trust Company, LLC were charged by the Securities and Exchange Commission “SEC” for soliciting and selling unregistered […]Continue Reading
Posted inUncategorizedLeave a comment on Genesis and Gemini’s SEC Charges Shine a Light on the Risks of Unregulated Securities
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
Posted inBlog, Company NewsLeave a comment on Key takeaways from our capital raising webinar
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
Posted inBlog, Company NewsLeave a comment on Horizon listed in the FINRA Compliance Vendor Directory
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
Posted inUncategorizedLeave a comment on Horizon $5M Series A Funding Round now open for investments
The importance of KYC technology for financial institutions amidst COVID-19
Why now is the time for companies to bring their onboarding processes into the digital age By Vanessa Malone While many companies have been making steps to create flexible options for their clients to interact with their business online for quite some time, those in heavily regulated environments like financial institutions, have been slower to adopt […]Continue Reading
Posted inTechnologyLeave a comment on The importance of KYC technology for financial institutions amidst COVID-19
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
Posted inNew FeaturesLeave a comment on Why it’s time for your broker-dealer firm to update its data management infrastructure
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
Posted inBlog, Research, TechnologyLeave a comment on Cost Benefits of Tokenization vs. Traditional Private Placement (updated for 2020)
What is SEC Commissioner Hester Peirce’s safe harbor proposal and the implications surrounding it. By Vanessa Malone In a speech last week, SEC Commissioner Hester Peirce announced a proposal for a three-year “safe harbor” for tokens offerings which would exempt the sale of tokens or cryptocurrencies from certain federal securities law requirements. Token project issuers […]Continue Reading
Posted inBlog, ResearchLeave a comment on
The EU steps up its crypto compliance laws for 2020
5AMLD- what’s in store for the blockchain community and how fintech can stay ahead of global regulation By Vanessa Malone The U.S. isn’t the only country cracking down on compliance initiatives surrounding blockchain and digital assets in 2020. Globally, anti-money laundering(AML) and Know Your Customer (KYC) requirements have continued to increase and become more applicable […]Continue Reading
Posted inBlog, TechnologyLeave a comment on The EU steps up its crypto compliance laws for 2020