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

FinTech Compliance Expertise

Five Tips for a New Fintech Chief Compliance Officer: the Survival Guide

by InnReg

As a newly hired or promoted Chief Compliance Officer or CCO within an early-stage fintech firm, you may find your  new job requirements somewhat disorienting. Often, CCOs have extensive compliance experience in other types of organizations, such as more traditional banks, RIAs, broker-dealers, etc., or larger companies that already have robust, well-resourced compliance teams. More mature organizations typically have more familiar compliance needs and challenges as well.

KYC/AML Customer Requirements and Due Diligence

by InnReg

Online and alternative lending have opened up credit to a wide range of individuals and businesses who may not meet the traditional definitions of creditworthiness laid out by banks and traditional lenders. They have also brought valuable innovation and new efficiencies to an area of finance that had stayed very close to its face-to-face, paper-based history, even as other banking services modernized.

2020 Fintech Regulations Guide for Fintech Startups

by InnReg

Imagine the following nightmare scenario. At 5 AM, you get a call letting you know your company has just experienced a cybersecurity incident. Your clients cannot access their accounts. Your employees are also locked out. As you investigate further, you discover that your client data has been breached: names, addresses, account numbers, social security numbers. 

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.