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Crypto and ICO Compliance Services

The world of crypto moves quickly and constantly. Recent SEC statements have been focused on two key points. First, ICO tokens were generally deemed to be securities. Therefore, they must conform to securities registration requirements and other investor protection provisions. Second, crypto brokers and exchanges were advised to register their platforms with FINRA and the SEC as national securities exchanges, alternative trading systems (ATS), and/or broker-dealers.

Read more about the SEC’s position on cryptocurrencies, as well as the best ways to immunize your crypto program from potential regulatory actions, by clicking on How to Get Crypto Out In Front of an SEC Enforcement Action.

InnReg has been helping BDs launch digital platforms for more than 10 years. Now we’re using this same expertise to support crypto exchanges and to help ICO token issuers adapt to new regulatory standards.

We help our crypto clients with registrations, workflows, processes and cybersecurity:

  • Manage registration services for crypto exchanges, intermediaries and advisors
  1. FINRA registration for broker-dealers
  2. SEC registration for ATS platforms
  • Develop back-office and compliance stacks
  1. Vendor selection and due diligence
  2. SEC registration for ATS platforms
  • Provide outsourced compliance and operations services
  1. Executive level: CCO (chief compliance officer), registered principals (Series 24 license), and FINOP (financial operations principal with Series 27 license)
  2. Manager level: staff to support in-house CCO and operations
  3. Fully managed: complete team provides compliance department in-a-box
  • Facilitate SEC and FINRA compliance
  1. Exams, audits and regulatory filings
  2. Information requests
  • Manage cybersecurity and monitor for suspicious activity
  1. Risk assessments
  2. AML compliance
  3. Fraud prevention
  4. Information security procedures and audits

Reach out today for a Complimentary Consultation.

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