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regulatory compliance Archives

Tesla CEO charged with making false statements about funding

Businesses small and large are required to follow certain rules. The world of regulatory compliance and securities law can be complex, but at its heart readers of this blog should know that the rules in places are there to keep the game fair for companies, shareholders and prospective investors. This can mean penalizing individuals and corporations that exaggerate earnings, misstate important information about their structures or otherwise entice financial speculation and interest in securities that are not founded in reality or even legal processes.

Why are securities subject to strict governmental regulation?

Past posts on this Florida securities and business law blog have discussed what a security is and what it offers to individuals who purchase them. A security is an investment tool that allows a person to acquire an interest in an entity with the opportunity to see their investment grow as the entity expands its operations and holdings. Getting in on the ground floor of a new securities offering can be a big deal for someone who believes that the entity the securities support will be the next Google or Apple.

SEC launches new online tool to help investors avoid fraud

When an investor is approached about buying securities, he or she does not always know what they need to about the person or entity who is trying to make the sale. This can be particularly troubling if an individual has failed to toe the line with respect to regulatory compliance or did something else to make them the subject of an enforcement action. Fortunately, the Securities and Exchange Commission (SEC) is about to make it easier for potential investors to perform due diligence.

Regulators turn their sights on virtual currencies

In the last few years, cryptocurrencies have been big news and big business in Florida. Although they have gone fairly unregulated thus far, private sector experts and government regulators have fueled speculation about how government and business will ultimately regard cryptocurrencies -- and how they may be regulated. In some instances, cryptocurrencies may be treated as a currency, and in others, they may be seen as securities and subjected to regulatory compliance.

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