“Fintech” is the new buzz word all around the web these days. Firms already doing it wonder when the regulatory authorities will take notice and step up regulatory compliance. 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 in equal need of advice from regulatory experts who understand innovation in the financial industry. Regulatory standards of SEC and SRO’s (Self-Regulated Organization) such as; FINRA, MSRB, NASD are complex. No matter which channel you operate in, we can provide the guidance and support needed for a sound strategy that keeps risk down and opportunity maximized.
RND Resources has programs for established Fintech firms needing compliance and audit guidance; and 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
• Compliance Program
• 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. RND Resources works with firms entering the fin-tech space. We develop client focused strategies that fit growth objectives and meet regulatory demands. We’ll work with your managing partners, IT executives, lawyers, compliance principals, staff, and stakeholders.
• Fintech Strategy Development
• Reg-Tech Solutions
• Fintech Compliance
• CyberSecurity Program
• NMA – CMA Registration
• Blockchain Development
Additional Services Offered to support FinTech innovation and emerging firms
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