In the fast-moving world of FinTech, innovation often outpaces regulation. Many startups focus on building products and attracting investors, but overlook one of the most critical parts of their foundation: compliance. For early-stage FinTechs, small missteps can quickly become costly enforcement actions. Each year, the SEC and FINRA highlight repeated issues in their exam priorities and enforcement reports. The lesson is clear: most compliance failures aren't new—they're simply avoidable. From registration requirements to cybersecurity protocols, discover the five critical compliance traps that regulators see time and again, and learn how to avoid them before they threaten your business.

Fractional General Counsel support gives regulated financial firms affordable, day-to-day legal coverage without hiring full-time. I handle compliance, filings, contracts, and regulatory prep so your team can stay focused on growth and stay exam-ready.