Running a business in the Fintech Industry is not easy.

But it has seen quite a bit of explosive growth in recent years.

For those who don't know much about it - it's mixing financial services with tech.

Now anyone working in this space knows how regulated this market can be.

Fintech companies have to consider A LOT more than normal businesses.

Financial regulations, data privacy laws, IP rights, and consumer redressal, there's a lot to consider.

But today's case study touches upon this issue.

Because law can be so vast, I will help you narrow your focus on important points.

Our client was running a fintech company providing API solutions in the investment market.

They had a good client base and wanted to expand upon their product offerings.

For this, they knew they needed some help procuring the necessary licenses and also getting guidance on regulations.

This is where we come in.

Problems:

1) Expanding Service Offerings:

Being a fintech company in the investment market, they had a good client base.

And wanted to offer additional services in a legally compliant way.

2) The Necessary Advice:

They wanted to ensure they got the right advice to proceed.

3) Hassle-Free Documentation and Licensing:

Our client wanted a smooth process for obtaining the necessary licenses and preparing the required documentation.

Solutions:

1) Advisory

We understood their goal behind providing share registry maintenance services.

As they wanted to offer "share registry maintenance" and "share transfer services", they needed to obtain licenses from the regulatory body.

We provided guidance on the process and compliance requirements associated with providing RTA services.

2) Documentation Support

We gathered the required information and prepared the necessary documents for the registration application.

We also assisted in addressing ancillary documentation and additional compliances necessary for regulatory approval.

We made adjustments to the company's governing and internal documents as required.

3) Liaison Support

We submitted the application along with the needed supporting documents and fees.

And routinely followed up on the process with the regulator.

While also providing ongoing support to address any queries or additional requirements from the regulator.

Now with just those 3 steps, our client was able to:

1) Obtain the necessary licenses to provide additional services

2) Make informed decisions, reducing the risk of regulatory issues

3) Reduce admin hurdles and overall minimize delays

This helped them expand their services and also operate with confidence.

Ultimately, adding to their business growth and success!

Remember - running a successful business means making smart decisions.

And that starts with following the rules and keeping things running smoothly.

When you make decisions based on good advice you can avoid problems that can cause major setbacks.

Good luck!

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