Elevate Your Compliance with FINIQ Compliance Services
Whether you’re an established boutique investment bank, a fund distribution team looking to scale, or an independent banker or M&A professional launching your own brand, FINIQ’s white label broker-dealer platform gives you the regulatory foundation, technology, and operational support to grow with confidence.
As a FINRA-member broker-dealer, FINIQ delivers turnkey compliance, supervisory oversight, and back-office infrastructure—all under your brand. Get set up in weeks, not months, and avoid the significant cost and complexity of building your own broker-dealer. Our platform is specifically designed for professionals who need a trusted, scalable, and cost-efficient solution to operate legally and efficiently in today’s highly regulated capital markets.
What Is a White Label Broker-Dealer Platform?
A white label broker-dealer is a regulatory and operational solution that allows financial professionals to raise capital, manage transactions, and operate under a fully licensed broker-dealer—without creating one themselves. FINIQ acts as your regulatory partner behind the scenes, so you can focus on deal execution and client relationships while maintaining full compliance with FINRA and SEC requirements.
Who FINIQ Supports
FINIQ Capital provides white label broker-dealer services and compliance solutions for:
- Investment Banking Teams
- Asset Managers and Their Sales Personnel
- Third-Party Marketing & Fund Wholesaling Groups
- Fund Sponsors and Distribution Teams
- Independent Investment Bankers
- Placement Agents Seeking Broker-Dealer Affiliation
Why Partner with FINIQ?
FINIQ is a proven platform for financial advisors, fund distributors, and dealmakers looking to operate under a compliant and cost-effective white label broker-dealer structure.
Proprietary Tech-Enabled Solutions
Our white label broker-dealer platform includes digital tools that streamline compliance and transaction management. You get:
- Centralized deal documentation and audit trail
- Automated reporting and compliance tracking
- Integrated CRM and investor communication tools
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
FINIQ 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 50 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.
Integrated Deal Network
Gain access to a curated private securities marketplace for sourcing, syndication, and deal amplification among top-tier dealmakers. Collaborate in real time with peers and tap into exclusive deal flow, backed by a trusted institutional network.
With FINIQ, you get more than a license—you get the technology, compliance infrastructure, and transaction expertise that have powered over $15B in recent deals.
What’s Included in the FINIQ White Label Broker-Dealer Platform?
FINIQ provides a comprehensive white-label broker-dealer compliance service tailored for firms seeking to streamline their regulatory operations while maintaining full focus on business development and growth. We simplify the path to success by helping you avoid the tedious and time-consuming U.S. broker-dealer registration and licensing process. We offer full-service compliance coverage across all 50 U.S. states, territories, and international markets — including SEC Rule 15a-6 chaperoning services for foreign fund distributors and asset managers seeking access to U.S. investors.
Our comprehensive services include:
● 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;
● Required Broker Dealer
reporting
Access New Deal Flow Through FINIQ
One of the most valuable advantages of partnering with FINIQ’s white label broker-dealer platform is the access it provides to active, high-quality deal flow across sectors and geographies. Our platform is more than a compliance solution—it’s a gateway to new opportunities.
Ready to optimize your business with a trusted broker-dealer partner? 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.
