3 Ways Digital Securities Are Changing Compliance for Issuers

3 Ways Digital Securities Are Changing Compliance for Issuers

How well do you know your investors? For private and non-listed securities issuers, listing and administering assets means managing a litany of regulations around investor qualifications, shareholder limits and other compliance considerations.

Depending on the type of private placement, the Securities and Exchange Commission (SEC) has strict laws around asset ownership and transfer, with severe penalties for issuers who fail to meet requirements. In the traditional markets, the time and resources required to vet investors and ensure transactions meet compliance standards has often limited the pool of prospective investors for issuers.

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