Fintech Compliance
12 articles in this category
Offering Investing, Trading and Custody to LATAM Residents Through a US RIA
LATAM fintechs can serve local residents through an internet exempt RIA or an existing adviser such as NextReg Advisors, with a real cross border compliance program.
The Regulatory Barrier Is the Last Barrier to Launching an Investing App
AI collapsed the cost of building an investing app, but the regulatory path did not compress. How US firms choose between a regulatory host and their own RIA without losing speed.
Generalized vs. Specialized Compliance for Fintech and AI Native Launches
Why generalist compliance advice delays novel product launches, how one continuous program can span multiple registrations, and where compliance strategy creates revenue.
Why Fintechs Need Specialized Compliance Partners for Embedded Investment Products
Large fintechs launching embedded investment products need compliance partners who can integrate regulated advisory layers without slowing the core business.
The Strategic Decision Every Fintech Should Make Before Launching an Investment Advisory Product
Fintechs entering investment advice must choose between direct RIA registration and partnering with an existing adviser. We map the tradeoffs in speed, control, economics, and regulatory responsibility.
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.