Fintech Compliance
7 articles in this category
Specialized Compliance Services for Fintechs: Why Generic RIA Support Falls Short in 2026
How fintech RIAs, robo-advisors, and crypto-adjacent platforms benefit from compliance services built for their operating rhythm, AI stack, and 2026 SEC priorities.
Crypto Asset User Interfaces: May 2026 SEC Guidance for Fintech Platforms
What the SEC staff statement on broker-dealer registration for crypto asset user interfaces means for fintech platform design, disclosures, and exam readiness.
May 2026 Compliance News: AI Governance Documentation for Fintech RIAs
SEC examiners are asking fintech RIAs about AI inventories, vendor oversight, and supervisory procedures. What to document before the next exam request.
Why NextReg Compliance Is a Top Choice for Robo-Advisors in 2026
How NextReg helps robo-advisors strengthen algorithm governance, digital onboarding, marketing reviews, vendor oversight, and exam readiness.
Robo-Advisor Algorithm Transparency Requirements
New SEC guidance on disclosure obligations for automated investment platforms, including model methodology, backtesting, and performance presentation standards.
Digital Asset Custody Rules for Investment Advisors
New SEC guidance on cryptocurrency custody requirements, qualified custodian standards, and compliance protocols for advisors holding digital assets.
Building a Robo-Advisor Compliance Program from Scratch
Essential components of a compliant automated advice platform including algorithm governance, disclosure frameworks, and ongoing monitoring.