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Do you hold required licenses/registrations in your operating jurisdictions?
Do you have a functioning AML/KYC program with transaction monitoring?
Are customer funds segregated and protected? Are funds held directly or via a third-party custodian (e.g., Fireblocks, Anchorage)?
Any ongoing legal/regulatory proceedings or violations in past 3 years?
Do you block prohibited jurisdictions (sanctioned countries)?
Do you follow cybersecurity standards and conduct regular audits?
Do key executives have financial services/compliance experience?
Do you have established banking relationships and compliance vendors?
Are you audited and maintain proper financial controls?
Are you prepared for upcoming regulatory changes?
Are you in industry groups (e.g., TRM Labs, GBBC, ADGM Sandbox)?
Do you maintain a framework for determining whether an asset is a security or requires regulatory treatment?
Do you provide public financial or operational disclosures (e.g., proof-of-reserves, attestation reports, risk disclosures)?
