A compliance program for crowdfunding platforms and alt-finance providers.
This program runs the compliance operation across campaign onboarding, investor screening and the payout rail. Every alert is resolved end to end, into a case file. Configured to your campaign and investor populations and your payout flow. Your Compliance Officer stays accountable.
What we investigate
- Campaign onboarding cases: promoter, counterparty and registry evidence.
- Investor sanctions adjudication.
- Diversion and self-dealing cases on funded campaigns: payout and counterparty evidence.
- TM alerts on platform flows.
What’s special
The case file format meets U.S. Reg CF and Reg A alongside FCA crowdfunding rules from one program.