Investore
Overview of Client and Focus
Our client, a robo-investment advisor in the Fintech space focused on enabling non-U.S. residents to invest in the U.S. financial markets, retained SCA to assist with complying with U.S. securities laws, which included registering with the SEC as an investment adviser, filing Form ADV, and including necessary disclosures required by law on their company website. SCA advised on compliance processes early in the product build process. Further, SCA provided business strategy and operations advice, partnering with the client to select a broker, manage outside counsel, and prioritize tasks in preparation for the launch of the business.