Online Lender Exchange
Objective: Update operational systems to ensure compliance with the requirements of a regulated partner.
Background/Opportunity
Challenge/s
InnReg's Solution
Client Results
Regional Bank
Objective: Develop the business plan for a new wealth and investment management service.
Background/Opportunity
Challenge
InnReg's Solution
Client Results
Trading Education Service
Objective: Help a non-regulated entity prevent inadvertent regulated activity and maintain data security.
Background/Opportunity
Challenge/s
InnReg's Solution
Client Results
Testimonial
“Operating a business in a highly regulated industry carries risk. InnReg has provided us with an individualized compliance program that they manage and monitor. It's a relief to know that we have expert industry professionals taking care of both our compliance and information security programs. Their services allow us to focus on growing our business and offering a great experience to our users, knowing our compliance program is in good hands.” — Client CEO
ATS
Objective: Help an alternative trading system (ATS) build a technology-based compliance platform to support its unique and disruptive business model.
Background/Opportunity
Challenge/s
InnReg's Solution
Client Results
Testimonial
Our business model is based on algorithms and high-volume trading. Using InnReg as our outsourced compliance program allows us to keep up with the frequency and depth of complex regulatory requirements. I also see it as an important strength for our continued growth in the U.S. and beyond.
-- Client CEO
Bank-Owned Broker-Dealer
Objective: Guide a bank through the processes of setting up and then operating a broker-dealer subsidiary for international investors wishing to trade in the United States.
Background/Opportunity
Challenge/s
InnReg's Solution
Client Results
Testimonial
“Operating a business in a highly regulated industry carries risk. InnReg has provided us with an individualized compliance program that they manage and monitor. It's a relief to know that we have expert industry professionals taking care of both our compliance and information security programs. Their services allow us to focus on growing our business and offering a great experience to our users, knowing our compliance program is in good hands.” — Client CEO
Crypto Exchange Broker-Dealer
Objective: Enable a crypto trading platform to offer a seamless customer experience between crypto and equities trading by offering registered broker-dealer services.
Background/Opportunity
Challenge/s
InnReg's Solution
Client Results
Objective: Interim outsourced CCO role, setup and enhancement of compliance workflows, and onboarding of a full-time, in-house CCO
Background/Opportunity
Challenge/s
The broker-dealer was confronted with three key challenges. They needed to:
InnReg's Solution
Our team of outsourced compliance experts stepped in to tackle these challenges head-on:
Interim CCO Support: We immediately filled the leadership void as one of our seasoned compliance professionals assumed the role of interim CCO. Leveraging their extensive industry experience, they guided the broker-dealer through complex regulatory landscapes, ensuring full compliance with financial regulations.
Compliance Workflow Setup: We then focused on the creation and implementation of effective compliance workflows. Our team performed a comprehensive analysis of the broker-dealer's operations and crafted tailored workflows to ensure regulatory compliance, efficient processing, and risk management.
New CCO Onboarding Support: Finally, as the broker-dealer hired a permanent CCO, we facilitated the transition. Our team worked closely with the new hire, providing comprehensive training on the established compliance workflows and offering insight into the changing regulatory requirements of broker-dealers.
Client Results
Our engagement with the startup broker-dealer resulted in significant tangible outcomes:
This engagement was an example of our commitment to providing comprehensive, tailored compliance solutions that empower financial firms to operate efficiently, maintain regulatory compliance, and navigate growth stages with confidence.
Client Testimonial
"Partnering with [InnReg] during a pivotal period of our growth was one of the best decisions we made. The vacancy in our Chief Compliance Officer position was a significant concern, but their team seamlessly stepped in, providing an experienced professional who guided us through complex regulatory landscapes with proficiency. They further created and implemented compliance workflows that were tailor-made to our business model, increasing efficiency, transparency, and risk management across our operations. Lastly, the onboarding support they provided for our new CCO was invaluable – it ensured a smooth transition and equipped our new officer with a deep understanding of our firm's specific requirements. Their comprehensive solutions not only ensured our regulatory compliance but also empowered us to focus on our core business and growth. We couldn't be more grateful for their support."
- Client CEO
At InnReg we resolve a myriad of complex fintech compliance issues for cutting edge clients in highly regulated industries. We’re passionate about launching your creative ideas without compromising your original vision, and without undue regulatory risk.
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1101 Brickell Avenue
South Tower, 8th Floor
Miami, Florida 33131
305-908-1160
info@innreg.com