InnReg - Fintech Compliance

Ready to scale from startup to a unicorn?

We've helped more than one client do just that.

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.