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Portal Escalation Procedures

In the event that an issuer’s offering encounters compliance issues or fails to meet regulatory readiness, R. Block Nation follows the escalation protocol below in collaboration with its funding portal, escrow, and legal partners.

🔍 Trigger Events

Escalation is triggered if any of the following occurs:

  • Incomplete or inaccurate Form C disclosures
  • Failed KYC/AML checks on control persons (via Kore)
  • “Bad Actor” disqualifications
  • Delayed payment authorization for escrow setup (North Capital)
  • Incomplete or non-compliant investor communications
  • Misrepresentation of offering terms in public marketing

🔄 Escalation Flow

1. Initial Notification

The issuer is notified in writing of the specific compliance issue, with a required response time of 3–5 business days.

2. Freeze/Delay

The campaign is paused or removed from public view until resolution is confirmed. No new investor funds may be accepted during this phase.

3. Remediation Plan

Issuer must submit a remediation plan or updated documentation (e.g. amended Form C, KYC resubmissions, corrected marketing language).

Platform coordinates with legal counsel and Kore/funding portal partners to verify resolution before reactivation.

5. Resolution or Termination

  • ✅ If resolved: Campaign is reactivated and may proceed.
  • ❌ If unresolved after 14–30 days: Offering is formally terminated.

📎 Issuer Cooperation Required

All issuers are contractually required to cooperate in good faith with the escalation process. Failure to do so may result in:

  • Permanent removal from the platform
  • Formal notification to regulators
  • Loss of escrow privileges

📩 Questions or compliance concerns? Contact: contact@rblockholdings.com