Elevate Your Compliance with FNEX
Are you ready to take your independent banking or fund distribution team to the next level? FNEX, a FINRA-member broker-dealer is actively recruiting independent banking and fund distribution teams who are ready to partner with a leader in compliance and investment banking. Our comprehensive compliance services and proprietary tech-enabled back-office solutions provide the support you need to succeed in today’s dynamic financial landscape.
FNEX Capital provides you turn-key broker-dealer registration and ongoing compliance for:
● Investment Banking Teams
● Asset Managers Their Sales Personnel
● Third-Party Marketing & Fund Wholesaling and Distribution Groups
● Fund Sponsors
Why Partner with FNEX?
FNEX is a powerful partner for affiliation, offering a range of services designed to streamline your compliance and transaction processes. Here’s what makes FNEX the right choice for your team:
Proprietary Tech-Enabled Solutions
Our tech-driven back-office solutions simplify compliance and transaction management, allowing you to focus on serving your clients. Our platform includes advanced tools for reporting, analytics, and communication, ensuring seamless workflows.
Cloud-Based Environment
With our cloud-based platform, you benefit from an end-to-end centralized digital investment banking system. This technology enables seamless access to vital tools and resources from anywhere, enhancing your operational efficiency and providing real-time insights into transactions.
Robust Compliance Framework
FNEX provides a comprehensive compliance framework tailored to the needs of independent banking and fund distribution teams. We ensure you stay compliant with all regulatory requirements, including SEC and FINRA guidelines. Our compliance services include:
● Regulatory Filings: We handle all necessary filings to ensure adherence to regulations. This includes registration with the SEC, FINRA, and 51 States and Territories.
● Due Diligence Support: Our team conducts thorough due diligence to mitigate risks and enhance transaction success.
● Training and Resources: We offer ongoing training for your team to ensure compliance knowledge is current and applicable.
Simplify Your Broker-Dealer Strategy with FNEX
At FNEX Capital, we offer brokers a cost-effective, strategic alternative to launching an independent broker-dealer. Gain access to comprehensive back-office compliance support and streamlined FINRA/SEC reporting—all at a fraction of the annual cost.
● Email review on a monthly basis of all registered representatives;
● Email archiving for all registered representatives with FINRA approved provider;
● Diligence review of all engagement agreements, offering documents, and transaction related documents;
● AML / KYC processes on all investors in each transaction;
● Continuing education monitoring for each registered representative;
● Investment account monitoring for each registered representative;
● Annual CE as required by FINRA; and
● Required Broker Dealer reporting
Join FNEX Today!
Our team of compliance experts is committed to providing the support and resources you need. We help you navigate complex regulatory landscapes and implement best practices for compliance.
