Crypto/Blockchain Consulting Services

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

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

Our expertise in crypto / blockchain assets sets us apart from typical crypto consultants. We have been solving compliance challenges for innovators in this area 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 overcome unique compliance and cybersecurity challenges in innovative ways, managing 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 THE essential resource in this area.

 


NFT Regulation

We Help Our Clients Navigate a Fluid Regulatory Environment

Fintech innovators often face the challenge of operating under regulations designed well before technology became central for delivering financial services. In the blockchain space, this challenge is even harder, as assets, transactions, and market participants can be difficult to classify under the categories outlined in current rules and regulations. In the absence of structured regulation, and uncertainty about the applicability of current rules, regulators still attempt to enforce existing rules. Enforcement actions are multiplying worldwide.

To support our clients, we actively monitor regulatory developments in the blockchain space and develop best practices based on regulatory feedback. Our best practices are constantly incorporated in our processes, workflows, and compliance programs specifications.


Core compliance activities must 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 Consulting Services

  • We manage regulatory registration and licensing 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
  • We can run all or part of your compliance function
  1. Executive level assistance for security token broker-dealers and exchanges: 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
  • We provide ongoing regulatory management
  1. Regulatory exams, audits and filings
  2. Responses to information requests from regulators
  • We provide AML services, 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
  • We support clients with the development of back-office and compliance stacks, vendor selection, and due diligence

Compliance Regulations Insights on Crypto and Blockchain Compliance


InnReg Publications in FFNews (Fintech Finance News)

FFNews works with renowned executives in the industry to provide key decision-makers globally within leading financial services organizations with reliable and accurate intelligence on emerging trends and breakthrough technologies, helping them to make informed decisions.

 


 

Enforcement Actions or Settlements Cases

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