Compliance Setup
Configure regulatory compliance and investor verification for your jurisdiction
Supported Regulatory Frameworks
United States
- Regulation D (506b, 506c)
- Regulation A+
- Regulation S
- Regulation CF
European Union
- MiFID II
- AIFMD
- Prospectus Regulation
- GDPR
United Kingdom
- FCA Rules
- Financial Promotions
- UK Prospectus Regime
- Data Protection
Singapore
- MAS Guidelines
- SFA Requirements
- PDPA Compliance
- Securities Offering
Switzerland
- FINMA Regulations
- Swiss Code of Obligations
- DLT Act
- FADP
Canada
- NI 45-106
- NI 31-103
- PIPEDA
- Provincial Securities
KYC/AML Configuration
1
Select KYC Provider
Choose from integrated providers (Onfido, Jumio, Sumsub) or configure custom verification flow.
2
Configure Verification Levels
Set up tiered verification: email only, basic KYC, full KYC, enhanced due diligence.
3
Define Investor Types
Configure requirements for retail, accredited, qualified purchaser, and institutional investors.
4
Set Jurisdiction Rules
Define allowed/blocked countries, state-specific requirements, and cross-border restrictions.
5
Enable Continuous Monitoring
Activate ongoing sanctions screening and adverse media monitoring for existing investors.
Compliance Features
Automated investor accreditation verification
Multi-jurisdiction compliance rules engine
Transfer restriction enforcement
Holding period tracking
Beneficial ownership disclosure
Sanctions and PEP screening
Adverse media monitoring
Automated regulatory reporting
Audit trail and record keeping
Investor suitability questionnaires
Risk disclosure management
Subscription agreement workflows
Need Compliance Guidance?
Our team can help configure compliance for your specific regulatory requirements
Request Consultation