• FundAmerica | Securities Technology & Compliance

Compliance & Syndication

Compliance & Syndication Tools for Securities Professionals

Your clients and bankers want to use the internet to market offerings and get investors. Although legal, it can be stressful for firms given the compliance and technology needs required. Good news – FundAmerica enables broker-dealers to easily manage their tech-driven offerings using our powerful compliance and syndication tools.

Our Technology Includes:


  • Easy, wizard-driven offering setup (including e-signing system)
  • Broker-dealer compliance dashboard displays offerings in queue pending review
  • Complete access to issuers offering settings and data
  • Buttons and tracking code for each unique marketing location (e.g. BD website, issuers website, etc)
  • No manual agreements, everything is e-signed by issuer (escrow agreement, technology agreement, transfer agent agreement)


  • New investments queue for review & approval
  • AML review & exceptions clearance
  • Suitability data (optional)
  • Material changes to offering and/or investor transactions are easily handled via re-e-sign system for revised doc’s
  • Disbursement submissions to escrow for broker-dealer fees & commissions
  • Syndicate members get limited-view dashboards to review & approve their transactions (no visibility into other firm’s investors or data)


  • Retention of all data per 17a3/4
  • All admin actions timestamped and retained

Compliance Informational Downloads

Bad Actor Checks - Handout
Bad Actor Checks
AML Process - Handout
AML Process