Legal
Liquid's commitment to maintaining compliance and safety.
Last updated
Liquid's commitment to maintaining compliance and safety.
Last updated
Liquid is committed to compliance and employs cutting-edge measures to safeguard the platform and its users. This includes:
Integration of KYC/AML processes via specialized smart contracts
Partnership with Plaid for rigorous KYC checks and user verification
These measures ensure stringent compliance, transparency, and a secure investment environment.
At Liquid, our commitment to compliance with the Securities and Exchange Commission (SEC) is unwavering. We have implemented a comprehensive framework incorporating various SEC guidelines, including exempt securities offerings such as Reg A, Reg D, Reg CF, and Reg S, ensuring regulatory adherence and investor protection. Our dedication to compliance involves multiple key initiatives:
Each offering on our platform strictly follows the guidelines and regulations outlined in Reg A, Reg D, Reg CF, and Reg S. This ensures that our investment offerings comply with specific requirements, allowing us to cater to diverse investor segments while maintaining regulatory alignment.
Liquid boasts an internal compliance team dedicated to ensuring adherence to SEC regulations. This team meticulously oversees and manages the submission of all requisite filings with the SEC for each offering, guaranteeing that all compliance-related obligations are met consistently.
Liquid is actively pursuing the acquisition of a corporate broker dealer license and Alternative Trading System (ATS) accreditation. These efforts signify our commitment to further elevate our compliance standards and regulatory capabilities. Acquiring these licenses will not only enhance our regulatory posture but also expand our capabilities in facilitating compliant and secure trading activities on our platform.
These proactive measures underscore our commitment to SEC compliance and regulatory adherence. By diligently following exempt securities regulations, maintaining an internal compliance team, and pursuing licenses to bolster our regulatory framework, we aim to provide a secure, compliant, and transparent investment environment for all our users.
