“Fintech” is the new buzz word all around the web these days. Firms already doing it are wondering when the regulatory authorities will drop the hammer down and force everyone to walk the same straight line. Firms who are not already doing it are wondering; how, how fast, and how much it will cost to get in the game.
Both sides are equally in need of sound advice from regulatory experts who understand innovation, the financial industry, and regulatory standards of SRO’s such as; FINRA, SEC. MSRB, MSB (Self-Regulated Organization). No matter which side of the spectrum you are, we can provide the guidance and support needed to adopt a sound strategy keeping risk factors at a minimum while maximizing opportunities.
RND Resources has programs for Fintech firms needing to improve compliance and audit standards; as well as programs for brokerages and investment firms wanting to launch Fintech solutions.
|Fintech Firm – Compliance & Support||BD’s RIA’s, Banks – Fintech Development|
|Does your business model stand up to risk management principles? How about regulatory compliance? Looking for a way to integrate brokerage capabilities with your product services? RND Resources can help. Our experts guide you, your firm, and stakeholders through the maze of securities business opportunities, threats, and weaknesses; while maintaining a core focus on your Fin-tech business model. Risk Management Regulatory Compliance
FINRA Member Application
Regulatory Exam & Audit Principal Registration
FinOp – CCO Service
|Traditional brick and mortar brokerage and investment firms are losing ground to the new world order of millennial investors (under 50). This new investor demographic is more technology savvy than ever before. RND Resources works with firms entering the fin-tech space to develop client focused strategies that fit growth objectives and meet regulatory oversight. We’ll work with your managing partners, IT developers, lawyers, compliance team, staff, and stakeholders. Fintech Strategy Development
Fintech Compliance & Risk Assessment
NMA – CMA Registration
Additional Services Offered to support FinTech innovation and emerging firms
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Nov 2016: Clearing with Blockchain Technology