WealthBlock.AI LLC is listed in the FINRA Compliance Vendor Directory.
With all the required components built, our tech team will work with your compliance team during onboarding to fine-tune the platform so you can meet the FINRA/SEC requirements.
WealthBlock uses Amazon Web Services (AWS) Simple Storage Service (S3) [REF: Report: Amazon Web Services (AWS) Simple Storage Service (S3): SEC 17a-4(f), FINRA 4511(c) and CFTC 1.31(c)-(d) Compliance Assessment]
NOTE: As the legal operator of your funding platform, you are responsible for meeting relevant regulatory requirements. As a tech vendor, WB provides the technical support to help you meet tech-related compliance requirements.
#broker dealer, funding portal, compliance, requirements, data storage, cybersecurity, safeguard, client data
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