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Jonathan Heymann

Three Compliance Commandments to Obey

Advisors have a duty to act fairly, honestly and in good faith with clients. To meet these obligations, they must know their clients, understand th...
Oscar Jofre

Entrepreneurs Get Naked for Money

I think you should get naked. There’s a reason why people have nightmares about being naked in front of a crowd, and it’s because they hate the ...
Jonathan Heymann

Becoming an EMD

So, you’re thinking of setting up your own Exempt Market Dealer “EMD”. Starting your own firm, along with the additional compliance responsibilitie...
Jason Futko

Equity vs. Debt Crowdfunding

There is a lot of media focus on crowdfunding, but sometimes the types of crowdfunding are not properly distinguished. You hear a lot about the Kic...
Oscar Jofre

Role for Corporate Secretaries in Companies with Equity C...

The Corporate Secretary’s role to date has only been utilized, appreciated and well understood by listed companies and larger private company enter...
Oscar Jofre

What will happen to blockchain in 2017?

Banks are beginning to recognise the potential of blockchain. Oscar Jofre looks at what this could mean for financial services in 2017. ...
Jason Futko

​Size Matters: How to Manage Shareholders Under Title III

Most companies go out to raise capital knowing exactly what they’ll do with the money once they have it. They’ve got an itemized plan broken down b...
Oscar Jofre

Perspective: Alternative Finance in Asia

I’ve been in Shanghai and Hong Kong quite often over the last few months, speaking at events and meeting with partners. As a Canadian, what struck ...
Oscar Jofre

Fintech and Equity Crowdfunding in Germany

FinTech is about to get an upgrade. In 2016, get ready to see GermTech – the entry and infectious spread of high potential German technological fin...
Oscar Jofre

The Double-D (as in Due Diligence)

Get your mind out of the gutter!   Now, when you first saw the title, you asked yourself what business has to do with anything relating to double-D...