Tag Archives: compliance
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
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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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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
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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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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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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
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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
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Key Takeaways from Dialogue with the Regulators: Navigating Blockchain & Fintech
We are happy to announce that Dialogue with the Regulators: Navigating Blockchain & Fintech was a great success. A big thank you to everyone who made it. We welcomed senior regulators from the SEC, FINRA, CFPB, and Texas State Securities Board; blockchain trailblazers including Gemini, Paxful, Coinbase and financial service heavyweights such as Blackrock, UBS, […]Continue Reading
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