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.
* 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.