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Expand your compliance and fintech knowledge with in-depth review of compliance strategies and topics

Compliance Management

Broker-Dealers

FINRA Form U5: Filing Requirements and Tips

United States

Apr 30, 2025

·

14 min read

Blockchain

Markets in Crypto-Assets Regulation (MiCA) Updated Guide (2025)

Europe

Mar 31, 2025

·

20 min read

Broker-Dealers

Written Supervisory Procedures for Broker-Dealers (Full Guide)

United States

Jan 28, 2025

·

11 min read

Blockchain

US Crypto Regulation: Federal and State Guidelines

United States

Jan 10, 2025

·

30 min read

All Fintech

FINRA Form U4 Essential Guide (Updated 2025)

United States

Dec 11, 2024

·

8 min read

ATS

Alternative Trading System (ATS) Regulation and Requirements

United States

Dec 4, 2024

·

11 min read

Money Transmitters

Money Transmitter License: Steps + Requirements (2025)

United States

Nov 27, 2024

·

17 min read

RIAs

2026 AML Requirements for Registered Investment Advisors

United States

Nov 14, 2024

·

8 min read

Crowdfunding Portals

Understanding Regulation Crowdfunding (Reg CF): A Guide for Startups

United States

Nov 5, 2024

·

14 min read

All Fintech

13 SEC Rules Every Fintech Founder Should Know

United States

Oct 29, 2024

·

11 min read

All Fintech

AML Compliance: A Practical Guide for Fintechs

Global

Oct 17, 2024

·

17 min read

All Fintech

Reporting Beneficial Ownership Information for CTA Compliance

United States

Oct 7, 2024

·

13 min read

Broker-Dealers

SEC Rule 17a-4: Compliance Essentials for Record-Keeping

Global

Sep 28, 2024

·

14 min read

All Fintech

Top 6 Regulatory Compliance Software in 2025

Global

Sep 25, 2024

·

11 min read

All Fintech

RegTech: What Is It and Why Use It? (+ Examples)

Global

Jun 20, 2024

·

14 min read

All Fintech

What Does a Chief Compliance Officer Do? 6 Key Responsibilities

Global

Jun 6, 2024

·

14 min read

All Fintech

Navigating FINRA Exams: Guide to All 32 FINRA Licenses

United States

May 30, 2024

·

16 min read

RIAs

SEC RIA Registration: Key Steps and Requirements

United States

May 9, 2024

·

11 min read

All Fintech

9 Key FINRA Rules Explained: Insights and Analysis

United States

May 2, 2024

·

14 min read

All Fintech

Fractional Chief Compliance Officer: Read This Before Hiring One

Global

Apr 30, 2024

·

7 min read

Lenders

Fair Lending Act Compliance: Essential Guide for Fintechs

Global

Apr 10, 2024

·

5 min read

All Fintech

Adequacy Decision for the US: Have You Updated Your Privacy Shield Policy Yet?

Global

Nov 1, 2023

·

9 min read

Broker-Dealers

FINRA Branch Office Inspection Template and Checklist

United States

Oct 17, 2023

·

9 min read

RIA

Form ADV Part 2: How to Update ADV Part 2 Template

United States

Oct 9, 2023

·

8 min read

Broker-Dealers

Office of Supervisory Jurisdiction (OSJ) Meaning: What Is It?

United States

Sep 30, 2023

·

9 min read

All Fintech

Interagency Guidance on Third-Party Relationships (OCC)

Global

Aug 27, 2023

·

5 min read

Payment Fintechs

Get Payment and E-Money Institution Licenses (PI and EMI Licenses) in Europe

Europe

Mar 17, 2023

·

10 min read

Blockchain

New EU Crypto Regulations: Crypto Licensing and Transfer of Funds (2023 Update)

Europe

Oct 15, 2022

·

6 min read

Blockchain

FinCEN Cryptocurrency Regulation: All You Need To Know

Global

May 30, 2022

·

13 min read

All Fintech

AML and KYC Compliance in Crypto

Global

May 23, 2022

·

3 min read

Blockchain

The FATF Travel Rule (Recommendation 16): The Most Common Questions in 2023

Global

May 9, 2022

·

5 min read

All Fintech

GLBA Compliance: Overview, Privacy and Safeguards Rule

United States

May 5, 2022

·

13 min read

Broker-Dealers

FINRA Regulatory Notice 21-31: Supplemental Liquidity Schedule

United States

Apr 29, 2022

·

3 min read

Broker-Dealers

FINRA’s Rule 5310: Why the Regulatory Focus on Best Execution is Here to Stay

United States

Mar 24, 2022

·

3 min read

Broker-Dealers

Super Account Administrator Role as defined by the FINRA Entitlement Program

United States

Jan 2, 2022

·

2 min read

Broker-Dealers

Payment for Order Flow (PFOF) and FINRA Rule 5310: A Guide for Online Broker-Dealers

United States

Sep 26, 2021

·

5 min read

RIA

Reg BI and the Fiduciary Standard: Compliance Guide for RIAs and Broker-Dealers

United States

Aug 26, 2021

·

10 min read

Broker-Dealers

Seven Essential Takeaways from FINRA Rule 3110 and SEC Rule 17a-4

United States

Jul 29, 2021

·

2 min read

Broker-Dealers

CCO Update: Regulation S-ID and Identity Theft Protection

United States

Jul 6, 2021

·

4 min read

Broker-Dealers

FINRA Rule 3110(e): Background Check Requirements (2025)

United States

Jul 6, 2021

·

7 min read

Broker-Dealers

CCO Action Alert: FINRA Suitability Rule Guidelines - FINRA Rule 2111 + FINRA Rule 3110

United States

Jun 13, 2021

·

3 min read

All Fintech

Data Protection Compliance Checklist: Stricter Rules for Fintechs

United States

May 18, 2021

·

6 min read

All Fintech

CCO Action Alert: 2023 Updated Electronic Records Retention Requirements and Examples

United States

May 16, 2021

·

5 min read

All Fintech

KYC Requirements and Due Diligence

Global

Nov 13, 2020

·

6 min read

RIAs

RIA Compliance Checklist for SEC Investment Advisors

United States

Aug 20, 2020

·

2 min read

Broker-Dealers

Does Your Leadership Structure Meet FINRA Requirements?

United States

Jun 4, 2020

·

4 min read

All Fintech

White Label Strategies for Fintech Startups in 2023

Global

May 1, 2017

·

5 min read

Business Models

Crowdfunding Portals

Money Transmitters

Payment Fintechs

Business Models

Crowdfunding Portals

Money Transmitters

Payment Fintechs

Business Models

Crowdfunding Portals

Money Transmitters

Payment Fintechs

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Fintech Industry

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Compliance Management

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Marketing Compliance

Fintech Industry

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Compliance Management

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Marketing Compliance

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