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
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