{% set baseFontFamily = "Lato" %} /* Add the font family you wish to use. You may need to import it above. */

{% set headerFontFamily = "Lato" %} /* This affects only headers on the site. Add the font family you wish to use. You may need to import it above. */

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

{% set pageCenter = "1100px" %} /* This sets the width of the website */

{% set headerType = "fixed" %} /* To make this a fixed header, change the value to "fixed" - otherwise, set it to "static" */

{% set lightGreyColor = "#f7f7f7" %} /* This affects all grey background sections */

{% set baseFontWeight = "normal" %} /* More than likely, you will use one of these values (higher = bolder): 300, 400, 700, 900 */

{% set headerFontWeight = "normal" %} /* For Headers; More than likely, you will use one of these values (higher = bolder): 300, 400, 700, 900 */

{% set buttonRadius = '10px' %} /* "0" for square edges, "10px" for rounded edges, "40px" for pill shape; This will change all buttons */

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

FinTech Compliance Expertise


CCO Action Alert: Hiring Practices and Background Check Requirements


by InnReg

FINRA Rule 3110 (e) defines broker-dealer hiring practices and requires employee background checks. The Rule sets forth precise requirements about the steps that member institutions must follow to review applicant backgrounds, employment experience, and criminal and regulatory disciplinary histories before onboarding an employee.


CCO Action Alert: Following FINRA Suitability Rule Guidelines


by InnReg

Suitability obligations are critical to investor protection. FINRA Suitability Rule Guidelines are included in Rule 2111 and FINRA Rule 3110. These two rules state that brokerage firms must ensure investment recommendations, including options and private placements, are suitable according to each client’s individual profile. Failure to verify customer suitability, monitor account activity, and investigate investments like private placements can result in meaningful penalties.


Data Protection Compliance Checklist: Stricter Rules for Fintechs


by InnReg

Protecting customer data has become increasingly imperative for fintechs: digital broker-dealers, robo-advisors, online lenders, and providers of digital banking, payments, and finance tools. While the wide range of applicable regulations can make compliance challenging, you can simplify the challenges by reviewing our Data Protection Compliance Checklist. It can help you build data protection best practices that meet today’s requirements and also evolve over time as more and more countries and U.S states pass privacy and disclosure legislation.


CCO Action Alert: Stay on Top of Electronic Records Retention


by InnReg

FINRA record retention requirements are a critical aspect of the compliance obligations for FINRA-member organizations.


Three Lessons Fintech CCOs Can Learn from the Chime Settlement


by InnReg

Chime is an application that works with banking partners to provide consumer-oriented banking products.