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{% set textColor = "#565656" %} /* This sets the universal color of dark text on the site */

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After you have updated your stylesheet, make sure you turn this module off

FinTech Compliance Expertise


Registered Investment Advisors (RIA) Ultimate SEC Compliance Checklist


by InnReg

Registered Investment Advisors must comply with the extensive provisions of the Investment Advisers Act of 1940 (also called the “Advisers Act”). 


A Compliance View of Fintech Technology Choices


by InnReg

Fintechs must take a good look at compliance considerations as they go through the process of making business-critical technology choices. When evaluating and selecting partners or technologies needed to deliver an innovative client experience, there is a high risk of making mistakes. These mistakes can jeopardize fintech firms’ ability to operate correctly either as regulated firms or as partners of regulated providers. Careful technology review and consideration of fintech compliance outsourcing can mitigate these risks.


Increase Your Operational Effectiveness


by InnReg

Running a supervision and compliance program for a regulated business can require managing hundreds of tasks, spread across multiple functional areas.


Does Your Leadership Structure Meet FINRA Requirements?


by InnReg

As an executive or manager, you could easily cross the line and engage in activities that require FINRA securities licensing. The result: potentially steep penalties and fines. By outsourcing your compliance function, you get the appropriate licensed oversight you need, and reduce your exposure to the risks of costly supervision mistakes.


Algorithm Compliance Does Not Happen Automatically


by InnReg

If you are using algorithms in your fintech offering, keep in mind that major regulatory bodies are paying more and more attention. Knowing what the SEC, FINRA, the CFPB, and the FTC are looking for can help mitigate the risks. Start by factoring this into your compliance strategy, and then build the mechanisms you need to monitor and audit what your algorithms do.