Secure Your Capital Raise: Compliance & Protection

In the complex world of capital formation, security and compliance are paramount. Our system ensures advanced safeguards adhering to industry standards.

Robust Data Security

Industry-leading encryption, MFA, and secure architecture protect all sensitive investor data.

Comprehensive Compliance

Support for Reg D, Reg S, Reg CF, Reg A+, and more with seamless tools for document management.

Secure Document Management

Encrypted storage, watermarking, audit logs, and secure investor document delivery.

Advanced AML/KYC

Automated KYC checks, AML-screening, and fraud prevention for investor verification.

Enterprise-Grade Security Infrastructure

Data Protection Measures

  • 256-bit AES encryption for data at rest
  • TLS 1.3 encryption for data in transit
  • Redundant global server locations
  • Role-based access, IP access control
  • Masked + encrypted investor accounts

Infrastructure Reliability

  • 99.9% uptime guarantee
  • DDoS + intrusion detection
  • Geo-distributed servers
  • Automated failover protection

Regulatory Compliance Framework

Navigating securities regulations demands precision. Sprowtt's compliance engine automates complex requirements, maintaining full transparency and control.

01

Regulation D ((b) & (c))

Automated accredited investor verification, Form D filing assistance, and Blue Sky law compliance tracking across all 50 states

02

Regulation CF (Crowdfunding)

Built-in support for $5M annual limit tracking, investor limits management, and required disclosure document generation

03

Regulation A+

Tier 1 and Tier 2 offering support with automated state filing coordination and ongoing reporting compliance tools.

04

State-Level Compliance

Comprehensive state-by-state regulation tracking, automated Blue Sky filings, and intrastate crowdfunding exemption support.

Automated Compliance Processes

KYC/AML Verification

Automated identity verification integrates with leading providers to ensure:

  • Real-time identity document validation
  • PEP (Politically Exposed Persons) checks
  • Adverse media monitoring
  • Continuous watchlist monitoring

Accredited Investor Verification

Our streamlined verification process includes:

  • Income and net worth documentation
  • Professional certification verification
  • Third-party verification integration
  • Automated status tracking and renewal
  • Secure document storage

Document Generation

Automated legal document creation includes:

  • Subscription agreements
  • Private placement memorandums
  • Investor questionnaires
  • Disclosure documents
  • State-specific filings

Comprehensive Activity Logging

Every platform action is recorded with a timestamp, user ID, IP address, and detailed description. Immutable, tamper-proof logs ensure compliance and forensic capability.

Investor Interaction Tracking

We provide complete records of all investor communications, document access, investment commitments, and status changes, ensuring full transparency for regulatory review and internal auditing.

Compliance Checkpoint Documentation

Automated documentation covers all compliance checks, verification steps, and regulatory filings. Generate comprehensive reports for the SEC, FINRA, and state regulators on demand.

Real-Time Reporting Dashboards

Access instant insights into compliance status, pending verifications, and regulatory deadlines. Customize reports for internal stakeholders and external auditors.

Secure Payment Processing

Facilitate seamless and secure financial transactions directly within the platform.
Our integrated payment processing protects sensitive banking information and investor funds through

  • PCI DSS Level 1 compliant payment gateway integration
  • Tokenization of payment card data
  • ACH and wire transfer support
  • Automated reconciliation and reporting
  • Escrow account management capabilities
  • Multi-currency support for international investors
  • Fraud detection and prevention systems

Privacy & Data Protection

Sprowtt commits to protecting user privacy and maintaining compliance with global data protection regulations, including GDPR, CCPA, and other privacy frameworks.

Data Minimization

We collect only essential data for platform functionality and regulatory compliance, reducing exposure and maintaining user privacy.

User Rights Management

Built-in tools allow users to access, correct, delete, or export personal data, complying with privacy regulations.

Encryption Standards

All personal data is encrypted both in transit and at rest using industry-leading algorithms and key management practices.

Consent Management

Granular consent tracking and management ensures compliance with privacy regulations and respects user preferences.

Security Certifications & Standards

Industry Certifications

  • SOC 2 Type II: Annual audits verify security, availability, and confidentiality controls
  • ISO 27001: Information security management system certification
  • PCI DSS Level 1: Highest level of payment card industry compliance
  • GDPR Compliant: Full adherence to EU data protection regulations
  • CCPA Compliant: California Consumer Privacy Act compliance

Security Best Practices

  • Regular vulnerability assessments and penetration testing
  • Bug bounty program with security researchers
  • Secure software development lifecycle (SDLC)
  • Employee security awareness training
  • Incident response plan with 24/7 monitoring
  • Third-party vendor security assessments

Access Control & User Management

Granular access controls ensure users only access necessary data and functionality, adhering to the principle of least privilege.

Multi-Factor Authentication

Required MFA for all accounts using authenticator apps, SMS, or hardware tokens for enhanced security.

Role-Based Access Control

Customizable user roles and permissions ensure appropriate access levels for team members and stakeholders.

Session Management

Automatic session timeouts, secure session tokens, and device tracking prevent unauthorized access.

Incident Response & Business Continuity

24/7 Security Monitoring

Our security operations center monitors for threats around the clock:

  • Real-time threat detection
  • Automated alert systems
  • Rapid incident response
  • Forensic investigation capabilities

Disaster Recovery

Comprehensive business continuity planning ensures minimal disruption:

  • Automated failover systems
  • Regular recovery testing
  • Geographically distributed backups
  • RTO of 4 hours, RPO of 1 hour

Incident Communication

We provide transparent communication during security events:

  • Immediate notification protocols
  • Status page updates
  • Post-incident reports
  • Regulatory breach notification

Compliance Reporting & Documentation

100%

Audit Trail Coverage

50+

Report Templates

24hrs

Report Generation

99.9%

Data Accuracy

Third-Party Security Integrations

Identity Verification Partners

Integration with Jumio, Onfido, and Trulioo for robust identity verification.

Accreditation Services

Partnerships with VerifyInvestor and North Capital for SEC-compliant accreditation verification.

Payment Processors

Secure integrations with Stripe, Dwolla, and other PCI-compliant payment gateways.

E-Signature Providers

DocuSign and Adobe Sign integration for legally binding, secure document execution.

Continuous Security Improvement

Security is an ongoing commitment, not a one-time implementation. Sprowtt continuously evolves its security posture to address emerging threats and maintain industry-leading protection.

Quarterly Security Audits

Independent third-party security assessments and penetration testing occur quarterly to identify and address vulnerabilities.

Weekly Threat Intelligence

Integration with global threat intelligence feeds helps us stay ahead of emerging security risks and attack vectors.

Monthly Compliance Reviews

Regular review of regulatory changes and platform updates ensures ongoing compliance with evolving requirements.

Daily Security Monitoring

24/7 automated monitoring and human oversight detect and respond to security incidents in real time.

Your Security: Our Top Priority

At Sprowtt, we earn trust through consistent, transparent security practices. Our comprehensive security and compliance framework protects your business, your investors, and your reputation.

Every feature, integration, and process is built with security at its core. From onboarding to the successful close of your offering, rest assured your data and investor information are protected by industry-leading measures.

Ready for secure, compliant capital raising? Contact our team to learn how Sprowtt's security infrastructure can protect your next offering.

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Security Questions?

Our security team is available to answer detailed questions about our infrastructure, certifications, and compliance measures. Contact us at security@sprowtt.com for technical security inquiries.