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Tuesday, August 11, 2020

FIN Compliance Selected for NewChip Business Accelerator Program

By Cory Roberson, Principal/Founder, FIN Compliance


August 11, 2020.  FIN Compliance, a provider of systems for conducting regulatory reviews and managing compliance tasks is pleased to announce that the company has been selected to take part in the NewChip business accelerator program. 

FIN Compliance offers compliance and review services for investment advisors, broker-dealers, and financial planners. Some of its leading products include: RIA Review, a compliance management software, B-D Review, a software for hybrid RIA’s and broker-dealers, FIN Lancer, a business management tool, and FIN Ventures, a startup consultancy.  


The pre-seed stage NewChip accelerator program begins August 11, 2020. The 3-6 months’ program will also include a Graduation Demo Day, Startup Expo and has a bi-weekly coursework commitment with Mastermind sessions.  The focus of the program will be to raise funds up to $1M and generate an equal amount of revenue.


We are delighted to have been chosen for the NewChip accelerator program and aim to make the best out of this learning period,” said Cory Roberson, Founder, FIN Compliance.


The NewChip accelerator program is competitive to get into, with less than 10% making it from over 500 applicants for each cohort.  This is thus a very coveted achievement for FIN Compliance.


Founded by Cory Roberson, FIN Compliance offers a portfolio of all-in-one consulting, compliance, business and task management tools. Clients using the software save on time and effort with access to regulatory resources with just a single login, along with exclusive tools for principals, CCOs, staff and consultants.


The FIN Compliance team looks forward to achieving positive outcomes from the accelerator program for rapid business growth in the near future.


For more information, please visit: www.FINcompliance.io

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       FIN Compliance Products and Services 



RIA Registration Services:  New/existing firms.
RIA Compliance Consulting:  Ongoing/annual services.
Compliance Management System: Compliance portal for resources, forms, and checklists.
Business Management System: Business portal for file sharing, e-contracts, and more. 
Advisor Continuity/Solicitor Support:  RIA Succession/continuity/solicitor services.
Business/Referral Network: Inquire about advertising/consulting projects. 




Our Approach

Compliance Management - We work with companies who are seeking to manage their compliance obligations - serving more than 175+ firms with compliance services and a system of SEC and state regulatory resources located on one site.

Business Management - We provide firms with task-management processes and a business directory to connect with other firms for continuity, succession planning, partnerships, and deal flow.  Also, we have a small network of referral partners for practice management, operations workflows, accounting, and website design.

Needs Analysis Workflow - We work with firms in determining their compliance management priorities.  During/after a need’s analysis, we provide firms with compliance/business service options to address those needs and will provide firms with sample workflows for task delegation purposes.

Audit Preparation - We help firms in addressing compliance deficiencies while acting as an intermediary for resolving issues between (you) the advisor and regulators/examiners. We can also assist firms in audit prep measures.

Regulatory Changes - We research regulatory updates from state, SEC, and/or FINRA jurisdictions. We’re here to help as some rules/regulations may be amended over time.

About FIN Compliance 

FIN Compliance  (FinCompliance.iois a consortium of compliance, consulting, and business management solutions designed to help boutique investment firms to structure, maintain, and develop their internal regulatory review programs.  

Our product line consists of:  RIA Consults-Roberson Consults Group, a compliance consulting firm, RIA Review, a compliance-management system, B-D Review, a Hybrid-management system (est. in 2020)*, and FIN Lancer, a Business/Task Management system. 

Impact/Missions - see website

Contact:  Cory Roberson - Cory@FINCompliance.io  

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