Over 30 U.S.-based and global compliance professionals with decades’ worth of cumulative experience in compliance, supervision, and risk mitigation.
CEO & Founder
At InnReg, we support online broker-dealers, digital lenders, alternative trading systems (ATS), crowdfunding platforms, robo-advisers, cryptocurrency platforms, and other fintechs who may be operating in a regulated environment or considering becoming regulated.
We help our clients resolve a myriad of complex compliance issues for cutting-edge clients in highly regulated industries. We have helped fintech innovators launch and grow their businesses by supporting their compliance function, including providing compliance services and leadership on a fully outsourced basis.
You bring us a disruptive idea in a highly regulated business environment, and we’ll creatively chart a path to overcome your regulatory obstacles.
We sift through black, white, and gray areas to identify all the pertinent regulatory issues. Then we conduct product strategy sessions to identify the most viable approach to maneuvering safely and securely around those obstacles while maintaining the integrity of the original product design.
Many clients outsource their entire compliance function to InnReg. For us, that’s the true testament to the quality of our solutions and the trust we engender.
We look forward to meeting you, learning about your goals and challenges, and exploring how outsourced compliance consulting could support your long-term growth objectives.
InnReg was founded in 2013 by Francesco Matteini, the former Chief Compliance Officer at TradeKing and Zecco, online brokers. He helped launch and merge into the sixth-largest online broker-dealer in the US, with 500,000 customers and $2.6 billion invested assets. The combined company was acquired by Ally Bank in 2016.
Since our founding, we have helped launch numerous disruptive fintech startups and take them from concept to successful operations.
We have also supported the growth initiatives of several established fintech and financial services companies by helping them identify, strategize, plan, and implement an enhanced compliance function that better fits their changing needs.
Global Client Roster
The InnReg family of clients has grown steadily since 2013. Today we partner with fintech and financial services firms spanning the Americas, Europe, and Asia. Our U.S. clients are located in every major financial and business center, including Manhattan, Boston, Miami, Chicago, Los Angeles, and San Francisco.
The InnReg team combines a diverse set of skills that meet the unique needs of each client and each project.
We are experienced in the design and management of compliance and supervision programs and will contribute a broad range of expertise at the intersection of fintech and regulatory issues, 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)
- Crypto and Digital Assets Platforms
- Crowdfunding portals
- Online Money Transmitters and Money Service Businesses (MSB)
- Robust “digital-first” approaches to core compliance areas including:
- 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
- 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:
- State regulatory agencies
We also have experience working with multiple high-profile regulatory agencies and notable firms.