Expertise

We are creating an ecosystem of “doers” to help build the businesses of the future

regulatory

Regulatory Consulting

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.

Services We Provide

  • 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

  • UDAAP review

  • Implementation review for consumer protection laws

  • Compliance risk assessments

  • AML / Sanctions program development and audits

  • Compliance and regulatory training

innovation

Innovation Consulting

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.

Services We Provide

  • Concept ideation and development

  • Regulatory ideation

  • 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

Technology Services

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.

Services We Provide

  • Build

    Have a great idea? We have experts that can evaluate your technology needs to build, launch, and scale your products and services.

    • Creation of bespoke technology solutions
    • Low to high-fidelity prototypes
    • Access to augmented staff for technology scaling needs
  • Buy

    Looking for an off the shelf solution? We sell MVP-ready solutions that we’ve spent time validating and building.

    • Crowdfunding platform
    • Blockchain ID solution
    • Crypto exchange
  • Partner

    Have an idea for the financial services industry, but need assistance in building it out? We partner with clients to co-create technology solutions.

    • Equity share in building ideas that fit into our investment thesis

Communications & Crisis Management Services

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.

Services We Provide

  • Communication strategy assessment / development

  • Crisis management communications

  • Reputation management

  • Guidance for stakeholder outreach and management