​​​​​​​The Importance of Compliance

The webinar provided a detailed walkthrough of the ever-evolving face of compliance within crowdfunding and investment for Regulation CF, Regulation A+ and Regulation D institutional investment offerings.

Attendees also learnt about key elements that issuers need to look for when raising capital through crowdfunding or other Regulation D institutional investment offerings and how new regulations aim to give investors even more security and protection, giving even more confidence in this global crowdfunding market expected to reach $200bn by 2025.

Webinar Host Andrew Dix, Founder and Editor-in-Chief of Crowdfund Insider was joined by CEO & Co-Founder of CrowdCheck, Sara Hanks, Compliance Officer at pioneering fintech and broker-dealer company Rialto Markets, Jim Caboy, Partner at law firm Ellenoff, Grossman & Schole LLP, Douglas Ellenoff, and Chief Compliance Officer at Prime Trust, Nirvana Patel.

"I was honored to be part of the Compliance session for the Crowdfunding Webinar series, especially with such respected and knowledgeable panelists!" Said Jim Caboy on his participation. "These are information packed and conversation starting webinars that I believe really do help bring this new and evolving part of investing and capital raising to light."

‍Key Takeaways from this webinar include:

• How recent SEC improvements to the Jobs Act exemptions for Regulation CF, Regulation A+ and Regulation D crowdfunding have helped fuel sector growth, now that you can raise up to $5million on a Reg CF and up to to $75 million a year on a Reg A+.

• How can an issuer looking to raise capital get a security offering live through a broker-dealer or a funding portal.

• The importance of keeping your investors and potential investors informed about their investment risk to protect them.

• The promotion and communication rules between each crowdfunding regulation are varied, and an issuer needs to know these nuances, especially when moving from a Regulation CF to aRegulation A+ raise.

• How compliance will impact the issuer and investor for private market security trading through an ATS (Alternative Trading System), and how the SEC and FINRA regulate this.

• How much more long-winded and intrusive a Regulation A+ filing and capital raise can be, and how issuers must be prepared for this.

• The differences between tier one and tier two Regulation A+ capital raise in terms of compliance and why tier two has become the clear favourite.

• The difference between the definitions of 'Fraud' and 'Failure' when an issuer is raising capital.

• Who controls investor and marketing data through each offering and how it is managed.

•  The future of Digital Assets like NFT’s and Cryptocurrencies and the panels view on how the regulators are going to be very strong on compliance and regulation in relation to securities.