Search

OTC Markets Blog

Latest commentary on Market Structure, Compliance, Small Cap and Reg A+ issues, including insights on the news and trends that affect the public markets.

Tag

Compliance

New Promotion Risk Flag Among the Latest Data Points to Increase Transparency and Investor Protection

Stock Promotion

Late last year, OTC Markets Group published a new Stock Promotion policy, along with Best Practices for public companies.  These policies outline OTC Markets efforts to establish best standard practices, improve market transparency and better address the problem of fraudulent stock promotion. Continue reading “New Promotion Risk Flag Among the Latest Data Points to Increase Transparency and Investor Protection”

Shell Game

During conversations with compliance and risk departments over the past year, the topic of shell companies always comes up.  For diligent compliance officers the reason for this focus is obvious, shell companies and more specifically trading with their affiliates are noted specifically in key notices and regulations, including: Continue reading “Shell Game”

5 Get Smart Tips on OTC Markets Compliance

The OTC equity market can seem overwhelming – with so many securities and data points to track, many compliance professionals are at loss for where to start.  The good news is you are not alone.

Here are 5 tips to understanding the OTC Market

Continue reading “5 Get Smart Tips on OTC Markets Compliance”

Up ↑