Crowdfunding | Investment Executive https://www.investmentexecutive.com/tag/crowdfunding/ Canada's news source for financial professionals Mon, 11 Aug 2025 20:14:08 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Crowdfunding | Investment Executive https://www.investmentexecutive.com/tag/crowdfunding/ 32 32 Agent sanctioned for KYC, client fundraiser https://www.investmentexecutive.com/news/from-the-regulators/agent-sanctioned-for-kyc-client-fundraiser/ Tue, 12 Aug 2025 07:47:00 +0000 https://www.investmentexecutive.com/?p=517308 Rep started a GoFundMe to help out a client breached privacy obligation

The post Agent sanctioned for KYC, client fundraiser appeared first on Investment Executive.

]]> ESMA rethinks retail investor protection https://www.investmentexecutive.com/news/from-the-regulators/esma-rethinks-retail-investor-protection/ Wed, 21 May 2025 17:31:42 +0000 https://www.investmentexecutive.com/?p=510259 Consultation examines whether rules are helping, or hurting, investors

The post ESMA rethinks retail investor protection appeared first on Investment Executive.

]]> Investment platform needed registration: BCSC https://www.investmentexecutive.com/news/from-the-regulators/investment-platform-needed-registration-bcsc/ Tue, 18 Mar 2025 20:53:56 +0000 https://www.investmentexecutive.com/?p=504830 Fractional investment firm platform triggered registration requirement

The post Investment platform needed registration: BCSC appeared first on Investment Executive.

]]> FCA aims to ease retail access to bond markets https://www.investmentexecutive.com/news/from-the-regulators/fca-aims-to-ease-retail-access-to-bond-markets/ Fri, 31 Jan 2025 19:36:03 +0000 https://www.investmentexecutive.com/?p=501486 Reforms designed to encourage smaller deals, retail participation

The post FCA aims to ease retail access to bond markets appeared first on Investment Executive.

]]> Europe reviews investment firms’ capital rules https://www.investmentexecutive.com/news/from-the-regulators/europe-reviews-investment-firms-capital-rules/ Tue, 04 Jun 2024 12:33:44 +0000 https://www.investmentexecutive.com/?p=487002 Crypto exposures, operational risks may need capital charges

The post Europe reviews investment firms’ capital rules appeared first on Investment Executive.

]]> Dude, where’s my enforcement action? https://www.investmentexecutive.com/news/from-the-regulators/dude-wheres-my-enforcement-action/ Wed, 13 Sep 2023 18:26:54 +0000 https://www.investmentexecutive.com/?p=471467 SEC sanctions Stoner Cats creator over NFT sales

The post Dude, where’s my enforcement action? appeared first on Investment Executive.

]]> NASAA defends public markets, investors https://www.investmentexecutive.com/news/from-the-regulators/nasaa-defends-public-markets-investors/ Wed, 08 Feb 2023 20:17:03 +0000 https://www.investmentexecutive.com/?p=460025 State regulators oppose proposals to expand private markets, erode investor protections

The post NASAA defends public markets, investors appeared first on Investment Executive.

]]> Crowdfunding, payment platforms face new KYC rules https://www.investmentexecutive.com/news/from-the-regulators/crowdfunding-payment-platforms-face-new-kyc-rules/ Wed, 27 Apr 2022 20:26:15 +0000 https://www.investmentexecutive.com/?p=443497 FINTRAC says platforms must register, comply with anti-money laundering regulations

The post Crowdfunding, payment platforms face new KYC rules appeared first on Investment Executive.

]]> SEC alleges crowdfunding violations https://www.investmentexecutive.com/news/from-the-regulators/sec-alleges-crowdfunding-violations/ Mon, 20 Sep 2021 20:25:22 +0000 https://www.investmentexecutive.com/?p=429161 Platform charged along with scheme's alleged perpetrators

The post SEC alleges crowdfunding violations appeared first on Investment Executive.

]]> CSA takes national approach to crowdfunding https://www.investmentexecutive.com/news/from-the-regulators/csa-takes-national-approach-to-crowdfunding/ Wed, 23 Jun 2021 16:51:14 +0000 https://www.investmentexecutive.com/?p=424212 New rules increase maximum limits for issuers and investors

The post CSA takes national approach to crowdfunding appeared first on Investment Executive.

]]>