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Keyword: Exempt market

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DealSquare 2.0 promises “full digitization” of the private placement process

  • By: IE Staff
  • April 16, 2020 April 16, 2020
  • 10:59
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Fraudsters could exploit stock market turmoil, regulators warn

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The group says investors need greater protections and oversight in private offerings

compliance puzzle

Firm failed to meet filing, solvency requirements

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The proposal would expand the definition of accredited investor

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Dealers that connect to the platform can publish their approved deals to their investment advisors

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Referral cases more than doubled from 2018 to 2019

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Regulator seeks to boost market activity following declines in energy sector

Compliance reviews are increasingly leading to enforcement action

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Although retail investors account for a tiny share of the capital raised, they represent 77% of the number of investors in the exempt market