Our Services

Broker-Dealer approvals (CMA/NMA)

This is a complex, highly scrutinized process, covering 12 specific areas.

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1 Engage Regulators (FINRA and SEC)

Submit Application

Answer additional questions

Demo technology in membership interview

Approval & Denial Decision

Custody and Settlement

Custody typically includes the settlement, safekeeping, and reporting of customers' marketable securities and cash.

Blockchain infrastructure

Blockchain infrastructure services coordinate and maintain access to the infrastructure that powers blockchains, such as dev tools and nodes, along with the underlying infrastructure needed to operate their systems. This also typically includes:

Wallets and private keys
Permissioned vs permissionless
Smartcontracts
Forks
Centralization vs Decentralization (DeFi)
Consensus Mechanisms (i.e. Proof of Work vs Proof of Stake)
Stablecoins

Risk, Cybersecurity and Governance Framework

Provides a framework for aligning IT with the overall objectives of an organization, lets an enterprise to quickly make sound decisions about cyber risk, and prevents siloing when it comes to risk.

Anti-Money Laundering
(Bank Secrecy Act)

Bank Secrecy Act requires U.S. financial institutions to assist U.S. government agencies to detect and prevent money laundering.

Business Continuity Planning

Business continuity planning is the process involved in creating a system of prevention and recovery from potential threats to a company. The plan ensures that personnel and assets are protected and are able to function quickly in the event of a disaster.