{% 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 Alert: Hiring Practices and Background Check Requirements - FINRA Rule 3110(e)


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: 2023 Updated Electronic Records Retention Requirements


by InnReg

FINRA’s document retention requirements are a critical aspect of the compliance obligations for FINRA-member organizations. As with any violations, failure to comply with appropriate records retention rules can result in costly investigations and fines.


The Chime Settlement - Three Lessons for Fintech CCOs


by InnReg

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


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.


Chief Compliance Officers: YOU Could Be Personally Liable for Compliance Violations


by InnReg

Did you know that you can be held personally liable for your firm’s compliance violations? If a Chief Compliance Officer (CCO) knowingly violates the Investment Advisers Act or engages in wrongdoing, the liability seems clear. But when CCOs lack essential skills and information for the CCO role, even their good faith efforts can become suspect.