FinTech Law
FinTech Startup Regulatory Path — $1,500
A focused review of your submitted materials, with a written memorandum identifying key issues, practical next steps, and matters that may require additional legal work. Fixed fee: $1,500.
Who it's for
Fintech companies and emerging managers that need to know whether they must register as an investment adviser or may qualify for an exemption or exclusion, and which product features push toward registration.
What's included
- Focused analysis of the agreed issue using the submitted documents and intake
- Identification of material concerns, relevant gaps, and recommended next steps
- One written memorandum
- Flagging an issue does not include fixing every document or resolving every issue
How it works
FinTech Law reviews submissions before work begins and may decline. Upon payment, FinTech Law opens a limited-scope engagement covering only this review.
- Complete the online intake
- Upload 3 to 5 relevant files (up to 4 MB each)
- Review and sign the limited engagement terms
- Pay through the application
- Receive the written memorandum
Credit
If, within 30 days after delivery of the memorandum, you separately engage FinTech Law for a written investment-adviser-status opinion (minimum fee $7,500), the $1,500 fee credits in full toward that engagement. No other fee credit applies.
What's not included
- Calls
- Ongoing email advice or follow-up consultations
- Document drafting, rewriting, or redlines
- Line-by-line editing
- Implementation, negotiations, filings, or registration
- Ongoing counsel
- A comprehensive compliance audit or assurance that the business is compliant
Additional work requires a separate agreed scope and fee. Administrative receipts, necessary intake clarification, and delivery notifications may still occur.