Fintech & Robo-Advisory Compliance
Specialized regulatory support for automated advice platforms and technology-driven investment services
Built for Modern Advisory Technology
Robo-advisors, automated investment platforms, and fintech advisory services face unique regulatory challenges that traditional compliance consultants often struggle to address.
NextReg specializes in the intersection of technology and investment advice. We understand algorithmic portfolio construction, automated rebalancing, digital client onboarding, and the compliance implications of each.
From SEC Marketing Rule compliance for digital acquisition funnels to model governance frameworks for automated portfolios, we provide the specialized expertise modern platforms need.
Specialized Services for Fintech Platforms
Robo-Advisor Compliance Programs
Complete compliance infrastructure for automated investment platforms including algorithm governance, disclosure frameworks, and ongoing monitoring
Model Portfolio Governance
Model construction oversight, rebalancing procedures, performance reporting, and investment committee documentation
Automated Advice Disclosures
Form ADV and client disclosure preparation specifically tailored for algorithmic advice and digital advisory services
Digital Onboarding Review
Compliance review of automated client intake flows, risk questionnaires, and suitability documentation
Third-Party Platform DDQ
Vendor due diligence for custodians, portfolio management systems, CRM platforms, and technology providers
Marketing & Performance
SEC Marketing Rule compliance for digital ads, performance advertising, testimonials, and social media
Unique Compliance Challenges We Address
Algorithmic Transparency
How do you explain complex investment algorithms to clients in plain English? We help craft disclosures that satisfy regulatory requirements while remaining understandable.
Performance Advertising
The SEC Marketing Rule has specific requirements for performance advertising. We ensure your digital marketing campaigns comply with show rates, time periods, and required disclosures.
Automated Suitability
Digital risk questionnaires must adequately assess client objectives, risk tolerance, and financial situation. We review and strengthen your onboarding process.
Model Governance
Who oversees model construction? How are changes documented? We build governance frameworks that scale with your platform.
Vendor Oversight
Robo-advisors typically rely on multiple technology vendors. We implement due diligence and monitoring programs for all critical service providers.
Regulatory Engagement
Fintech platforms often face SEC questions about their technology and business model. We prepare you for these conversations and provide regulatory strategy guidance.
Platform Types We Support
Direct-to-Consumer Robo-Advisors
- Automated wealth management
- Goal-based investing platforms
- Micro-investing apps
B2B Advisory Platforms
- White-label robo solutions
- Turnkey asset programs
- Advisory technology for RIAs
Hybrid Advisory Models
- Robo plus human advisor
- Digital advice with CFP access
- Tiered service models
Ready to Build Compliant Fintech Advisory?
Schedule a consultation to discuss your platform's specific compliance needs and regulatory strategy.
Get Started