RND Resources, Inc. specializes in FINRA, SEC. CFTC/NFA regulatory compliance for fintech firms.
Expertise in regulatory compliance programs, registration, licensing, and operations for emerging financial technology firms that use blockchain, cryptocurrency, wallets, tokens, and related technology or platforms. We assist in broker-dealer membership with FINRA, registration with SEC, CFTC/NFA cryptocurrency offering applications, and more.
Knowledgeable professionals develop tailored procedure and policy to meet regulatory compliance requirements which fit your unique business model.
- Membership Application and Registration
- ICO Due Diligence & Filing with Regulators
- Anti-Money Laundering and Anti-Crypto-Laundering
- Client Suitability and Disclosures
- Books and Records Compliance
- Principal Registration – – Designated CCO & FinOp
- Accounting and Administrative Service
- Compliance Remediation Program
We assist various types of business models including Broker-Dealers with exemption from public offering like; Reg D, A, A+, CF, S; as well as state registration, Bitlicense, and SAFT simple agreement for future tokens. Feel free to reach out to us for a discussion of your needs and how we can best help.