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Expand your compliance and fintech knowledge with in-depth review of compliance strategies and topics

Compliance Management

Broker-Dealers Compliance

Broker-Dealers

Written Supervisory Procedures for Broker-Dealers (Full Guide)

United States

Jan 28, 2025

·

11 min read

Blockchain Compliance

Blockchain

US Crypto Regulation: Federal and State Guidelines

United States

Jan 10, 2025

·

30 min read

Fintech Compliance

All Fintech

FINRA Form U4 Essential Guide (Updated 2025)

United States

Dec 11, 2024

·

8 min read

ATS Compliance

ATS

Alternative Trading System (ATS) Regulation and Requirements

United States

Dec 4, 2024

·

11 min read

Money Transmitters Compliance

Money Transmitters

Money Transmitter License: Steps + Requirements (2025)

United States

Nov 27, 2024

·

17 min read

RIAs Compliance

RIAs

2026 AML Requirements for Registered Investment Advisors

United States

Nov 14, 2024

·

8 min read

Crowdfunding Portals Compliance

Crowdfunding Portals

Understanding Regulation Crowdfunding (Reg CF): A Guide for Startups

United States

Nov 5, 2024

·

14 min read

Fintech Compliance

All Fintech

13 SEC Rules Every Fintech Founder Should Know

United States

Oct 29, 2024

·

11 min read

Fintech Compliance

All Fintech

AML Compliance: A Practical Guide for Fintechs

Global

Oct 17, 2024

·

17 min read

Fintech Compliance

All Fintech

Reporting Beneficial Ownership Information for CTA Compliance

United States

Oct 7, 2024

·

13 min read

Broker-Dealers Compliance

Broker-Dealers

SEC Rule 17a-4: Compliance Essentials for Record-Keeping

Global

Sep 28, 2024

·

14 min read

Fintech Compliance

All Fintech

Top 5 Regulatory Compliance Software in 2025

Global

Sep 25, 2024

·

11 min read

Fintech Compliance

All Fintech

RegTech: What Is It and Why Use It? (+ Examples)

Global

Jun 20, 2024

·

14 min read

Fintech Compliance

All Fintech

What Does a Chief Compliance Officer Do? 6 Key Responsibilities

Global

Jun 6, 2024

·

14 min read

Fintech Compliance

All Fintech

Navigating FINRA Exams: Guide to All 32 FINRA Licenses

United States

May 30, 2024

·

16 min read

RIAs Compliance

RIAs

SEC RIA Registration: Key Steps and Requirements

United States

May 9, 2024

·

11 min read

Fintech Compliance

All Fintech

9 Key FINRA Rules Explained: Insights and Analysis

United States

May 2, 2024

·

14 min read

Fintech Compliance

All Fintech

Fractional Chief Compliance Officer: Read This Before Hiring One

Global

Apr 30, 2024

·

7 min read

Lenders Compliance

Lenders

Fair Lending Act Compliance: Essential Guide for Fintechs

Global

Apr 10, 2024

·

5 min read

Fintech Compliance

All Fintech

Adequacy Decision for the US: Have You Updated Your Privacy Shield Policy Yet?

Global

Nov 1, 2023

·

9 min read

Broker-Dealers Compliance

Broker-Dealers

FINRA Branch Office Inspection Template and Checklist

United States

Oct 17, 2023

·

9 min read

RIA

Form ADV Part 2: How to Update ADV Part 2 Template

United States

Oct 9, 2023

·

8 min read

Broker-Dealers Compliance

Broker-Dealers

Office of Supervisory Jurisdiction (OSJ) Meaning: What Is It?

United States

Sep 30, 2023

·

9 min read

Fintech Compliance

All Fintech

Interagency Guidance on Third-Party Relationships (OCC)

Global

Aug 27, 2023

·

5 min read

Payments Compliance

Payment Fintechs

Get Payment and E-Money Institution Licenses (PI and EMI Licenses) in Europe

Europe

Mar 17, 2023

·

10 min read

Blockchain Compliance

Blockchain

New EU Crypto Regulations: Crypto Licensing and Transfer of Funds (2023 Update)

Europe

Oct 15, 2022

·

6 min read

Blockchain Compliance

Blockchain

FinCEN Cryptocurrency Regulation: All You Need To Know

Global

May 30, 2022

·

13 min read

Fintech Compliance

All Fintech

AML and KYC Compliance in Crypto

Global

May 23, 2022

·

3 min read

Blockchain Compliance

Blockchain

The FATF Travel Rule (Recommendation 16): The Most Common Questions in 2023

Global

May 9, 2022

·

5 min read

Fintech Compliance

All Fintech

GLBA Compliance: Overview, Privacy and Safeguards Rule

United States

May 5, 2022

·

13 min read

Broker-Dealers Compliance

Broker-Dealers

FINRA Regulatory Notice 21-31: Supplemental Liquidity Schedule

United States

Apr 29, 2022

·

3 min read

Broker-Dealers Compliance

Broker-Dealers

FINRA’s Rule 5310: Why the Regulatory Focus on Best Execution is Here to Stay

United States

Mar 24, 2022

·

3 min read

Broker-Dealers Compliance

Broker-Dealers

Super Account Administrator Role as defined by the FINRA Entitlement Program

United States

Jan 2, 2022

·

2 min read

Broker-Dealers Compliance

Broker-Dealers

Payment for Order Flow (PFOF) and FINRA Rule 5310: A Guide for Online Broker-Dealers

United States

Sep 26, 2021

·

5 min read

RIA

Reg BI and the Fiduciary Standard: Compliance Guide for RIAs and Broker-Dealers

United States

Aug 26, 2021

·

10 min read

Broker-Dealers Compliance

Broker-Dealers

Seven Essential Takeaways from FINRA Rule 3110 and SEC Rule 17a-4

United States

Jul 29, 2021

·

2 min read

Broker-Dealers Compliance

Broker-Dealers

CCO Update: Regulation S-ID and Identity Theft Protection

United States

Jul 6, 2021

·

4 min read

Broker-Dealers Compliance

Broker-Dealers

FINRA Rule 3110(e): Background Check Requirements (2025)

United States

Jul 6, 2021

·

7 min read

Broker-Dealers Compliance

Broker-Dealers

CCO Action Alert: FINRA Suitability Rule Guidelines - FINRA Rule 2111 + FINRA Rule 3110

United States

Jun 13, 2021

·

3 min read

Fintech Compliance

All Fintech

Data Protection Compliance Checklist: Stricter Rules for Fintechs

United States

May 18, 2021

·

6 min read

Fintech Compliance

All Fintech

CCO Action Alert: 2023 Updated Electronic Records Retention Requirements and Examples

United States

May 16, 2021

·

5 min read

Fintech Compliance

All Fintech

KYC Requirements and Due Diligence

Global

Nov 13, 2020

·

6 min read

RIAs Compliance

RIAs

RIA Compliance Checklist for SEC Investment Advisors

United States

Aug 20, 2020

·

2 min read

Broker-Dealers Compliance

Broker-Dealers

Does Your Leadership Structure Meet FINRA Requirements?

United States

Jun 4, 2020

·

4 min read

Fintech Compliance

All Fintech

White Label Strategies for Fintech Startups in 2023

Global

May 1, 2017

·

5 min read

Business Models

Crowdfunding Portals

Money Transmitters

Payment Fintechs

Business Models

Crowdfunding Portals

Money Transmitters

Payment Fintechs

Business Models

Crowdfunding Portals

Money Transmitters

Payment Fintechs

Topics

Compliance Management

Compliance Strategy

Compliance Issues

Marketing Compliance

Fintech Industry

Topics

Compliance Management

Compliance Strategy

Compliance Issues

Marketing Compliance

Fintech Industry

Topics

Compliance Management

Compliance Strategy

Compliance Issues

Marketing Compliance

Fintech Industry

Markets

Markets

Markets