Crowdfunding Portals Compliance and Operations

Designed to Support Innovation

  • Successful fintech startup veterans
  • Fast moving go-to-market deployment, while covering all the bases
  • Fluid manpower resources adapt to accommodate your operational model
  • Technology neutral
  • Pay-as-you-grow pricing structure leverages short-term and long-term compensation incentives

Out In Front of Emerging Approaches

InnReg has launched multiple online brokers over the past decade with special attention to FINRA requirements. This experience makes us highly adaptable to the complex requirements of crowdfunding portals.

We can leverage your current platform. Or recommend the best technology stack to solve all your regulatory compliance and technology needs, both effectively and cost efficiently. The final recommendation often integrates proven third-party solutions into your proprietary technology to achieve the optimal result. All of our systems and databases are cloud-based, so your team has easy access day or night from onsite or remote locations.

Crowdfunding Compliance Services

Outsourced compliance:

  • Executive level: Chief Compliance Officer (CCO)
  • Manager level: staff to support in-house CCO
  • Fully Managed: complete team provides compliance department in-a-box

Information security procedures:

  • Processes and safeguards
  • Best practices based on regulatory feedback

Suitability reviews:

  • Online recommendations/advice compliance
  • At-risk client profiles

Staffing compliance:

  • Individual registrations
  • Outside business activities

Outsourcing and vendor compliance:

  • Due diligence
  • Performance monitoring

FINRA compliance facilitator:

  • New crowdfunding portal application
  • JOBS Act compliance
  • FINRA rules and exams
  • Regulatory requests
  • Registrations and filings

Marketing, advertising and content compliance:

  • Marketing plan review resolves any compliance issues prior to execution
  • Content review for all online and offline messages, including social media

Suspicious activity detection, monitoring and reporting:

  • PSAR and SAR management and filing
  • AML compliance
  • Fraud prevention
  • Identity theft, including Red Flag programs

Operations Services

Account funding and funds transfer supervision:

  • Funding source verifications
  • Withdrawal request processing

Electronic books and records management:

  • Cloud-based document creation and management
  • Templates and methods based on best practices

New client onboarding and application approval:

  • Client identification (CIP/KYC/CDD/AML checks)
  • Exception management and additional due diligence on CIP kick-outs

Reach out today for a Complimentary Consultation.

Get in Touch