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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: Stay on Top of Finra Retention Requirements


by InnReg

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


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 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 needs and challenges as well.


Miami is a Magnet for New Innovative Fintech Companies


by InnReg

Fintech is disruptive by nature, so it was only a matter of time before this feisty category disrupted itself. A network of geographic locations, each with its own unique strengths, is quietly merging with Silicon Valley to form a fintech accelerator matrix that’s replacing the old single location fintech hub.


How Business Model of Fintech Companies Affects Their Future - Part Two


by InnReg

Part One of this report introduced the concept of full-stack vs. partial stack for fintech innovators related to online business regulations. It defined the two different options, outlined the pros-and-cons, and proposed some ways to accelerate the full-stack solution implementation timeline. You may have noticed a bias towards this approach because we know it works.