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Who We Serve

Broker-Dealer Compliance Consulting Services

Leverage our expert guidance to navigate the evolving regulatory landscape of broker-dealers, enhancing your compliance strategy and day-to-day operations.

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Navigating the regulatory landscape for broker-dealers requires meticulous attention to compliance and operational efficiency. Our services are tailored to support broker-dealers in managing the complexities of SEC and FINRA regulations, aligning their practices with current standards and fostering sustainable growth.

InnReg specializes in guiding broker-dealers through three fundamental areas:

We help determine the best regulatory structure based on your business model, technology, and user acquisition strategy. Then, we take the lead in articulating the unique nature of your business to the regulators.

We develop and manage your compliance and operational workflows to efficiently manage high volumes in user onboarding and transaction processing.

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 users.

Compliance Consulting

Expert Broker-Dealer Compliance Consulting

InnReg provides a comprehensive range of compliance consulting services tailored specifically for broker-dealers operating in the fintech space. We focus on helping these firms align their business practices with the stringent regulatory requirements of global markets.

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Registrations and Licensing

InnReg has supported dozens of clients on their journey to becoming regulated entities, securing regulatory approvals for broker-dealers, RIAs, ATS, money transmitters and lenders.

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Registrations and Licensing

InnReg has supported dozens of clients on their journey to becoming regulated entities, securing regulatory approvals for broker-dealers, RIAs, ATS, money transmitters and lenders.

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Registrations and Licensing

InnReg has supported dozens of clients on their journey to becoming regulated entities, securing regulatory approvals for broker-dealers, RIAs, ATS, money transmitters and lenders.

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Policies and Procedures Development

InnReg specializes in creating detailed, regulatory-aligned policies that meet industry best practices to guide fintechs' product development.

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Policies and Procedures Development

InnReg specializes in creating detailed, regulatory-aligned policies that meet industry best practices to guide fintechs' product development.

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Policies and Procedures Development

InnReg specializes in creating detailed, regulatory-aligned policies that meet industry best practices to guide fintechs' product development.

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Client Onboarding

InnReg’s outsourcing solutions handle the complexities of client onboarding, from initial application to thorough compliance verification.

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Client Onboarding

InnReg’s outsourcing solutions handle the complexities of client onboarding, from initial application to thorough compliance verification.

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Client Onboarding

InnReg’s outsourcing solutions handle the complexities of client onboarding, from initial application to thorough compliance verification.

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Books and Records for Financial Services

Electronic Books and Records Management

InnReg's expertise in managing cloud-based solutions and its best practice templates simplify record-keeping, enhancing your ability to conduct audits and respond to regulatory inquiries.

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Electronic Books and Records Management

InnReg's expertise in managing cloud-based solutions and its best practice templates simplify record-keeping, enhancing your ability to conduct audits and respond to regulatory inquiries.

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Electronic Books and Records Management

InnReg's expertise in managing cloud-based solutions and its best practice templates simplify record-keeping, enhancing your ability to conduct audits and respond to regulatory inquiries.

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Marketing Compliance for Financial Services

Advertising and Marketing Reviews

Navigate the complexities of promoting your fintech services with our compliance expertise. InnReg strives to make your marketing strategies not only resonate with your audience but also adhere to regulatory standards.

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Advertising and Marketing Reviews

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Advertising and Marketing Reviews

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Outsourcing Solutions

Leverage Broker-Dealer Outsourcing Solutions

InnReg offers specialized outsourcing solutions designed to streamline day-to-day operations and back office activities for broker-dealers in the fintech sector. Our services help your firm align with regulatory standards while optimizing operations.

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Broker-Dealers

Avenue Navigates Multi-Jurisdictional Success with InnReg's Guidance

Broker-Dealers

Avenue Navigates Multi-Jurisdictional Success with InnReg's Guidance

Broker-Dealers

Avenue Navigates Multi-Jurisdictional Success with InnReg's Guidance

Broker-Dealers

Passfolio Secures Regulatory Approvals for Stock and Crypto Trading

Broker-Dealers

Passfolio Secures Regulatory Approvals for Stock and Crypto Trading

Broker-Dealers

Passfolio Secures Regulatory Approvals for Stock and Crypto Trading

Broker-Dealers

Fennel Boosts Efficiency with InnReg's Compliance Solutions

Broker-Dealers

Fennel Boosts Efficiency with InnReg's Compliance Solutions

Broker-Dealers

Fennel Boosts Efficiency with InnReg's Compliance Solutions

Case Studies for Broker-Dealers

Our team, comprising more than 30 experts in compliance and consulting, has extensive experience working with broker-dealers. We have guided these clients through the complexities of operating within financial markets, addressing the unique challenges of broker-dealer compliance. This involves navigating SEC and FINRA regulations, obtaining necessary registrations, and adhering to strict operational and ethical standards.

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Read Our Case Studies

Why InnReg?

Since 2013, InnReg has been providing compliance consulting and outsourcing services to fintechs worldwide, including broker-dealers.

InnReg offers global fintech compliance and operations consulting and outsourcing services focused on mitigating regulatory risk while partnering with clients to launch innovative fintech products and services. Our competitive advantage and unique experience enable us to manage complex projects on behalf of clients operating in gray and rapidly evolving areas for both regulators and businesses.

Available Globally

Since 2013

Client Testimonials

"It is like having an in-house regulatory department. They came in, listened, understood our needs, and built our compliance systems from the ground up."
Client CEO
Lender
"InnReg has been the driving force in establishing our compliance, legal, and risk management functions. Their experience and profound knowledge of the industry have been instrumental."
Client President and COO
Broker-Dealer
"InnReg understands fintech, online brokers and robo-advisors like no other compliance consultants, with a substantial network of third-party providers."
Client Founder and President
RIA
"They have become a full extension of our team and we would not be in the same place today without their endless guidance, support, and great judgment."
Client CEO
Blockchain
"It's a relief to know that we have expert industry professionals taking care of both our compliance and information security programs."
Client CEO
Broker-Dealer
"Using InnReg as our outsourced compliance program allows us to keep up with the frequency and depth of complex regulatory requirements."
Client CEO
ATS
"We initially hired InnReg to provide temporary support, but they have become an intrinsic part of our business.”
Client CEO
Neobank
"Their solutions target startups and are customized to our niche and vision, without restricting innovation."
Client CEO
RIA
"Whatever our company achieves, it wouldn't have been possible without your first class services."
Client VP of Legal
Broker-Dealer
"InnReg is a network and a team of deep experts with many different specializations."
Client CEO
RIA
"Partnering with InnReg during a pivotal period of our growth was one of the best decisions we made."
Client CEO
Broker-Dealer

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Enhance Your Compliance Strategy with InnReg

Ready to chat about your compliance needs with a team of fintech regulation experts? Get in touch today!

1101 Brickell Avenue
South Tower, 8th Floor
Miami, FL 33131

305-908-1160

1101 Brickell Avenue
South Tower, 8th Floor
Miami, FL 33131

305-908-1160

1101 Brickell Avenue
South Tower, 8th Floor
Miami, FL 33131

305-908-1160