Crypto/Blockchain Assets Compliance Services

Registration, Workflow, Compliance, and Cybersecurity for Your Crypto/Blockchain Business

We help our clients in the crypto blockchain assets space with registrations, workflows, processes, and cybersecurity.

Our expertise sets us apart from typical compliance consultants. We have been solving compliance challenges in the areas of crypto / blockchain assets since 2014.

We have built and run compliance programs in this unique slice of the fintech industry, including:

• Lending / Yield Farming (finance lender frameworks)
• Exchanges (money transmitters)
• Token Issuance (Reg. D / Reg. S)

A Note About DeFi

We also advise and support compliance programs within the fast-growing Decentralized Finance (DeFi) space. Because DeFi applications do not have centralized operators by definition, operators must develop compliance and cybersecurity programs that overcome unique challenges, protecting them from risk and liability while safeguarding assets and users. Centralized platforms such as crypto wallet operators also must take caution in handling assets that may pass through DeFi platforms.

Our grasp of the nuances of blockchain compliance and ability to put them into practice makes us a valuable resource in this area.

Core compliance activities all need to be tailored to blockchain-based business models. Because of our experience in this space, you can count on us to bring blockchain-savvy approaches to areas such as:

• User Onboarding (CIP / KYC / EDD)
• Suspicious Activity Monitoring
• Advertising Compliance (UDAAP / FTC)

Our Full Suite of Crypto / Blockchain Asset Services

• Manage registration services for exchanges, intermediaries and advisors

1. Money Transmitter registration
2. FINRA broker-dealer registration
3. SEC registration for ATS platforms and security token exchanges

• Provide outsourced compliance services

1. Executive level assistance: CCO (chief compliance officer), Registered principals (Series 24 license), and FINOP (financial operations principal with Series 27 license) for security token broker-dealers and exchanges
2. Manager level: staff to support in-house CCO and operations
3. Fully managed: complete team provides compliance department in-a-box

• Ongoing regulatory management

1. Regulatory exams, audits and filings
2. Responses to information requests from regulators

• AML, cybersecurity and monitoring for suspicious activity

1. KYC (know your customer) and AML (anti-money laundering) compliance
2. Trading manipulation and fraud prevention
3. Risk assessments
4. Information security procedures and audits

• Development of back-office and compliance stacks
• Vendor selection and due diligence

Compliance Regulations Insights on Crypto and Blockchain Compliance

• Regulatory Issues for Crypto Businesses
• Crypto Platform Cease-and Desist Order from SEC