Industry FinTech delivers an intelligent back office solution with services covering Finance, Fund Administration, Operations, Compliance, HR, Investor Relations, Reporting, Analytics, Governance, Bill Pay, Entity Administration and other functions required for effective and compliant operations.

Investor Relations

  • Onboarding of all investors- We make sure all requirements and docs are complete and collected

  • Report Investor information to Issuer so they can make the decision on acceptance

  • Capital Tracking- We work with Investor to make sure the investment comes in to the right account

  • Provide Escrow- We set up, manage and maintain accounts

  • Retention and Organization- All docs and uploads will be retained and managed with full access and transparency

  • Dedicated Resources/ Phone Number- Investors will have access to Fund Admin IR contact to call for questions, comments, concerns

  • Distribution management, facilitation, confirmation and tracking

  • Escalation- Our team will escalate any issues directly to Issuer or 3rd party that can address issue

  • Complaints- Investor or Issuer complaint management and documentation

  • Transfers of Ownership- We will facilitate all redemptions and 3rd party transfers (selling shares)

  • Offering Management Services- We will handle custodian management and reporting to IRA 

  • Quarterly Statements- help the issuer prepare and  distribute quarterly reports

  • Form D Filings

  • Blue Sky Filings

  • OFAC Check

  • Bad Actor Check

Financial Operations

  • Contractor / Vendor Relationship Management

  • Managed Bill Pay

    • Collecting Invoices

    • Multi Approval WorkFlow

    • Book Entry 

    • AP tracking and reconciliation

    • Managed Expense Management

      • Review

      • Matching and reconciliation

      • Multi approval workflow

  • Pro Forma/Budget 

    • Creation 

    • Management

    • Forecasting

  • Cash Management

    • Tracking cash accounts stay at min or max balances

    • Check, Transfer and Wire processing

    • Multi approval process

  • Tax Preparation and Communication

Transfer Agency

  • Books and Records

    • Offering Review and Management

      • Documents

      • Restrictions

      • Redemption criteria

      • Minimums

      • Investor types and necessary protocol

    • Entity Review and Management

      • Review of Documents 

        • Formation dates, types, managing members, authorized signatories, business licenses, registrations, etc

    • Portfolio Asset Review and Management

      • Tracking all items around asset- price, dates, management cos, copies of docs/statements 

      • Track and maintain insurance, assets and debt

    • Team member tracking - OFAC, background, bad actor etc

    • ERC, Communication Review (Compliance)

      • Advertising/Communication review- review and suggested remedies

      • Retain all review and communication

      • Device, email tracking and monitoring

      • Technology review- intrusion detection etc

      • Control and/or Management of website and email

    • Corp Governance 

      • Approval workflows and review (post transaction)

        • Feedback loop and retention

Human Resources

  • Recruiting

  • HR Management

  • Automated employee surveys, etc.

  • Payroll and Benefits