InnReg is uniquely positioned to support innovation in the online investment advice and portfolio management space. We have advised several startups since our inception in 2013, including: 2 robo-advisors, 3 online BDs and 2 traditional brokerage firms. In addition Francesco Matteini, our founder and CEO, helped launch TradeKing and Zecco as their in-house CCO. Under his watch these two companies were successfully launched and then merged into one of the largest online brokers with half a million traders and almost $3 billion in assets.
At InnReg we work with robo-advisors in three key areas. First, we conduct a compliance risk assessment and help determine the best regulatory structure based on your business model, technology and user acquisition strategy. And then we take the lead in articulating the compliance strategy to the regulators. Second, we develop and manage your compliance and operational workflows to efficiently process high volumes in user onboarding and transactions processing. And third, we take ownership of your compliance and back office operations on a fully outsourced basis, allowing you to focus on developing your product and acquiring new users.
We can leverage your current platform. Or recommend the best technology stack to solve all your compliance and technology needs, both effectively and cost efficiently. The final setup 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.
Fiduciary standards compliance:
Marketing, advertising and content compliance:
SEC compliance and state regulatory compliance facilitator:
Information security procedures:
Suspicious activity detection, monitoring and reporting:
New client onboarding and application approval:
Electronic books and records management: