Broker Firm Registration

Broker Firm Registration

Objective

Assist with the registration of a brokerage firm of a leading edge blockchain bank that will be offering an electronic wallet.

Background Opportunity

Global bank with a blockchain technology platform that will be offering an electronic wallet to offer cryptocurrency to retail clients.

Chief Compliance Officer Engagement

Challenges

Filing a Form ATS with the Securities and Exchange Commission (SEC) and FINRA to allow the raising of capital through the sale of Private Placements of Tokens. Engagement was to understand the new technology platform that will be offered to retail clients and explain the concept to the regulators for approval of the regulatory application.

Results

Gained a full understanding of client’s business to complete the filing of Form ATS. Completed the Form ATS application for submission to securities regulators, and regulatory.