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

FinTech Compliance Expertise


CCO Update: Regulation S-ID and Identity Theft Protection


by InnReg

Regulation S-ID, sometimes referred to as the “Red Flags Rule,” lays out specific SEC requirements for how broker-dealers should approach the risks of identity theft. Advances in electronic communications and current remote working conditions have made it easier than ever to collect, manage and transfer individuals’ private data. The ongoing challenge of protecting personal information calls for vigilant data security controls.


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 Electronic Records Retention


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.