We believe fin-techs can leverage the opaque regulatory landscape
to build a competitive edge and to stand out among investors, partners, and potential buyers.
Advice and services include:
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Product Design
Front end UX/UI (lending/payments/consumer finance/b2b/crypto and others)
Funds flow structures
Regulatory requirements and approach (e.g., anti-money laundering, privacy, licensing)
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Compliance
Part-time CCO
Policies and procedures
Risk and gap assessments
Compliance trainings
Automated tools
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Operations
Issues management (compliance and ops risk)
Bottoms up/top down GRC structures
Vendor management
Information security program
Team structures
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Strategy
Diligence for debt/equity capital raising and exit scenarios (both buy side and sell side)
Bank partnerships
Transaction advice
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Network and Referrals
Board and advisory roles
Fin-tech focused law firms
Bank partners
Recruiting for GC/CCO roles
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Fractional General Counsel
Discussed on a case by case basis
Experience includes advising Board/CEO on legal and regulatory risks, negotiating debt/equity capital raises, negotiating bank partnerships, structuring and negotiating M&A transactions, implementing HR structures and navigating employee litigation risks, among other areas.