By , [Alternative Finance , Alternative Finance insights , At the Regulators , BaFIN (Germany) , Blockchain , Blockchain & Smart Contracts Insights , Compliance , Corporate Finance insights , Crowdfunding , Cryptocurrencies , Germany , Investment Banking , Senior Management] Germany cannot be considered the most welcoming jurisdiction in terms of token regulation. A recent report might spell a change of direction though. Here is why. Monday afternoon I received a gentle notification that the …
By , [Alternative Finance insights , At the Regulators , Compliance , Corporate Finance insights , Crowdfunding insights , Debt , FCA (UK) , Insights , Investment Banking , UK] When the UK’s Financial Conduct Authority (FCA) published a statement before Christmas that announced that it had directed London Capital & Finance plc (LCF) to withdraw all of its existing marketing materials in relation to LCF’s …
By , [Alternative Finance insights , At the Regulators , Compliance , Data Protection&Privacy insights , IT , Risk Management , Senior Management , US] Last week, the FDIC (“Federal Deposit Insurance Corporation”) sent out one of its periodic Financial Institution Letters. This one is about Technology Service Provider Contracts, so if you’re the compliance officer or a member of …
By , [Alternative Finance , Alternative Finance insights , At the Regulators , Blockchain , Blockchain & Smart Contracts Insights , Compliance , Crowdfunding , Crowdfunding insights , Cryptocurrencies , Hong Kong , Senior Management] Just when you thought STOs were the answer to the ICO impasse, the financial watchdog of HK issues a warning against investing in Security Tokens. Does this spell the beginning of the end for STOs …
By , [At the Regulators , Compliance , Data Protection&Privacy insights , European Union , General Data Protection Regulation (GDPR) , News from the EU , Privacy Officer , Senior Management] More than nine months have passed since the GDPR (General Data Protection Regulation) came into effect but still many companies struggle to adapt to the new rules and the increasing number of fines is a …
By , [Alternative Finance insights , Angel Investing, Venture Capital and Private Equity insights , Blockchain , Blockchain & Smart Contracts Insights , Compliance , Crowdfunding insights , Cryptocurrencies , Insights] One of the things that got me thinking early in my career in financial services was the realisation that many financial instruments are not registered. Or, as I should better say, their beneficial owner is …