Meet InvestorCOM at the 2022 NSCP National Conference, on Oct 17-19 2022 in National Harbor, MD.

Parham Nasseri, InvestorCOM’s VP of Regulatory Strategy will be presenting at the following panel session:
9c. BD/IA – FinTech Structure and Registration: Compliance Aligned Innovation (Intermediate)

Other panelists include Robin Freeman, CCO at LaSalle Investment Management and Iain Duke-Richardet, Head of Compliance at FUTUREBANK.

 

Learning Objectives:

* Determine whether or not registration as an investment advisor or broker-dealer aligns with your firm’s products and services

* Consider the various registration options as an investment advisor and how to determine where your firm fits

* Identify aspects of the firm that are unique to FinTech firms and how to apply either the Advisors Act or FINRA rules

* Gain a deeper understanding of how to develop an effective FinTech compliance program

Pre-book a meeting with us to discuss your firm’s regulatory challenges and how to turn compliance into an opportunity.