We are creating an ecosystem of “doers” to help build the businesses of the future
Navigating the regulatory landscape in uncertain times can be challenging. Our deeply seasoned experts can work with you to chart the most optimal course. Our practice areas span across asset classes providing a range of regulatory compliance services to banks (Federal and State chartered), broker dealers, swaps, derivatives and forex brokers, and fintechs. We also specialize in advising blockchain projects, structuring securities token offerings (STOs), and cryptocurrency related firms. We have experience working with Federal and State regulators, including the Securities Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), FINRA, and Office of the Comptroller of the Currency (OCC). We also work with global regulators on blockchain-related projects.
NV Global is listed in the FINRA Compliance Vendor Directory.
Bank Secrecy Act (BSA), anti-money laundering (AML), sanctions, Foreign Corrupt Practices Act (FCPA) compliance.
Mock regulatory exams
Preparing new broker/dealers FINRA and NFA registrations, form filings, and advertising review
Compliance Management System reviews
Active regulatory exam management
Compliance lookbacks and remediation
Trading and market making review with best execution and fairness
Customer compliant reviews
Implementation review for consumer protection laws
Compliance risk assessments
AML / Sanctions program development and audits
Compliance and regulatory training
Structuring operations in a country can be complex, especially in the U.S. We work closely and partner with an extensive and experienced network of attorneys to help you get up and running in reviewing feasibility of crypto projects and structuring business operations in an efficient and compliant manner.
Regulatory market analysis and State and Federal regulatory assessments for projects related to cryptocurrencies, STOs, and blockchain
Regulatory risk assessment on your business plan and marketing and social media presence
Drafting of legal offering documents to include; Business Plan as a result of our Regulatory Ideation with the client, Offering Memorandums for Reg D, Reg A, Reg S, securities token purchase or subscription agreements, limited liability company operating agreements, accredited investor questionnaires
Legal and Regulatory Developments for STO’s and Crypto related businesses that will impact your plan for entering or developing the US markets
Staying ahead of market structure changes means that companies must start thinking about and incorporating emerging technologies, market trends, and new growth opportunities into their present-day strategies. Business Risk and the Control Environment must keep pace with the blistering speed of Technological Innovation. We help our clients to understand and adapt their current business. We provide insights and guidance from idea formation, through incubation and all the way through to scaling the idea. Our experts can create bespoke ideation sessions, inclusive of regulatory insights, to help you identify new opportunities while future proofing your current roadmaps and vision
Concept ideation and development
Pitch deck development and coaching
Capital raising strategy
Product roadmap assessment
Innovation strategy development
Entrepreneur in resident (search and placement)
Provide seed capital
Assist with all stages of fundraising
Creating and powering products and services with the most advanced and well-suited technology is critical to compete and win in the marketplace. We offer our clients options to build, buy, or partner in developing bespoke technology solutions
Have a great idea? We have experts that can evaluate your technology needs to build, launch, and scale your products and services.
Looking for an off the shelf solution? We sell MVP-ready solutions that we’ve spent time validating and building.
Have an idea for the financial services industry, but need assistance in building it out? We partner with clients to co-create technology solutions.
Getting ahead of any adverse news is crucial and detrimental for any business. We help you to develop your story, communicate your vision, and manage your reputation when you need it the most.
Communication strategy assessment / development
Crisis management communications
Guidance for stakeholder outreach and management