Fintech Compliance Consulting and Operations
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InnReg provides design and management of compliance and supervision programs for fintech innovators and will contribute a broad range of regulatory expertise, including, but not limited to:
- Compliant launch of innovative fintech products and services
- Setup and registration/licensing of:
- Digital Broker-Dealers
- Alternative Trading Systems (ATS)
- Robo-Advisors (RIA)
- Crowdfunding Portals
- Lenders
- Money Service Businesses (MSB)
- Forex brokers
- Crypto and Digital Assets Platforms
- Anti Money Laundering (AML)
- Customer Identification Programs (CIP)
- Know Your Customer (KYC)
- OFAC and Sanction Programs
- Enhanced Due Diligence (EDD)
- Surveillance/suspicious activity monitoring/fraud prevention
- Advertising/Marketing compliance across regulatory frameworks
- SEC
- FINRA
- FTC
- UDAPP
- Cyber/information security programs
InnReg develops and manages end-to-end programs to comply with the requirements established by federal and state regulators, such as:
- SEC
- FINRA
- DTCC
- FTC
- CFPB
- CFTC
- NFA
- State regulatory agencies
We also have experience working with multiple high profile regulatory agencies and notable firms.
- Undisclosed
- Undisclosed
- 10 - 49
- Miami, FL
- Founded 2013
1 Locations
- Miami , FL
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