Broker-dealer operating infrastructure for tokenized private markets.
Configurable workflows for issuer onboarding, restricted securities compliance, custody orchestration, post-trade operations, and configurable regulatory-report preparation support.
Who We Serve
Tailored infrastructure for regulated intermediaries, secondary venues, and capital formation platforms.
Broker-Dealers & ATS Operators
White-label order gateways, smart order routing (SOR) data layers, pre-trade risk controls (SEC 15c3-5), books-and-records ledgers (SEC 17a-3/4), and net capital calculation workspaces (SEC 15c3-1).
Venture Capital & Private Equity
Private placement portals (Reg D 506c / Reg S), automated accreditation verification, SPV subscription book-building, and Rule 144 secondary transfer lockup management.
Transfer Agents & Trust Companies
Section 17A official book-entry cap table registries, programmatic share issuance, corporate action splits, dividend/coupon distribution, and DTC-related data-model mapping.
The Institutional Operating Model
A controlled five-stage workflow connecting issuer legal structuring to regulatory reporting preparation.
Asset Onboarding
Legal title anchoring, SPV series formation, PPM generation, and DTI/ISIN data mapping.
Identity & Eligibility
Configurable CIP/KYC integration, OFAC screening, and Rule 506(c) accreditation workflows.
Issuance & Controls
Transfer Agent book-entry issuance support, smart contract transfer rules, and Rule 144 holding locks.
Custody & Settlement
Custody API orchestration, Atomic DvP smart contract execution, and bank cash-settlement instructions.
Records & Reporting
Immutable audit-log architecture, 15c3-1/15c3-3 calculation workspaces, and CAT/TRACE export preparation.
Platform Capability Matrix
Distinguishing core production modules from partner-delivered services and configurable integrations.
| MODULE / CAPABILITY | STATUS | PRODUCT OWNERSHIP / PARTNER | TECHNICAL SPECIFICATION / RELEVANT RULE |
|---|---|---|---|
| Smart Contract Transfer Restriction Engine | Available Now | UnyKorn Native | ERC-3643, ERC-1400, XRPL MPT, Rule 144 holding timers |
| Digital Asset Custody Workflow Integration | Partner-Delivered | Eligible BitGo Custody Entities | Custody integration designed for eligible BitGo custody entities, subject to client agreements |
| SEC Section 17A Transfer Agent Integration | Partner-Delivered | Brassica Services / Registered TA | Registry tooling & integration support; registered TA maintains official records |
| Net Capital Calculation Workspace | Available Now | UnyKorn Native | Net-capital calculation workspace and configurable reporting support; client remains responsible for regulatory calculation, review, approval, and filings |
| Customer Reserve Calculation Workspace | Available Now | UnyKorn Native | Customer-reserve calculation workflow support, configurable to a firm's approved policies and qualified service-provider arrangements |
| ISO 20022 Financial Messaging Engine | Configurable | UnyKorn Integration Layer | pacs.008, sese.023 (DvP), camt.053, semt.002 XML message formatting support |
| Regulatory Data Export Workspaces | Configurable | UnyKorn Native | Configurable data-export workflows designed to support CAT, TRACE, and FOCUS preparation; not a filing, reporting-agent, or acceptance guarantee |
| Cash Settlement & Payment Workflows | Partner-Delivered | Approved Bank Partners | Bank-partner cash-settlement workflow design, including Fedwire-compatible payment instructions where available |
| DTC Workflow Data Mapping | Configurable | UnyKorn Integration Layer | Data-model mapping for DTC-related workflows, subject to applicable participant, transfer-agent, and DTC approvals |
| AI Trade Surveillance & Microstructure | Roadmap / Beta | UnyKorn R&D | Order book pattern analysis designed to assist client supervisory reviews; client maintains supervisory oversight |
Regulatory Boundaries & Shared Responsibility Matrix
Clear delineation between UnyKorn software functionality and the regulated responsibilities of clients and licensed partners.
| OPERATIONAL DOMAIN | UNYKORN ROLE (TECHNOLOGY PROVIDER) | CLIENT / LICENSED PARTNER ROLE |
|---|---|---|
| Custody & Safeguarding | Workflow automation, policy routing, and API integration layer. | Eligible qualified custodian holds assets under direct custody agreements and statutory charters. |
| Brokerage & ATS Matching | Platform configuration, order-entry interfaces, and FIX protocol data flows. | Registered broker-dealer or ATS conducts regulated activity, maintains Form ATS-N, and supervises trading. |
| Transfer Agency & Cap Table | Registry tooling, token contract rules, and integration adapters. | SEC-registered Transfer Agent maintains official book-entry records and validates transfers. |
| Regulatory Reporting (CAT, TRACE, FOCUS) | Data aggregation, calculation workspaces, and export file formatting. | Regulated firm reviews, verifies, approves, submits filings, and manages exceptions. |
| Compliance & Supervision | Configurable rule filters, permission controls, and immutable audit logs. | Client maintains Written Supervisory Procedures (WSPs) and regulatory accountability. |
| Cash Settlement & Banking | Payment instruction formatting and bank API messaging schemas. | Approved bank partner executes fiat transfers across applicable clearing networks under bank agreements. |
Controls & Governance
Enterprise operational security, configurable compliance logging, and operational risk frameworks.
Field-level AES-256 encryption at rest, TLS 1.3 in transit, automated vulnerability testing, and secure key-management isolation.
No SOC 2 Type II attestation is represented unless separately provided in the diligence data room.Configurable immutable audit-log retention architecture; WORM preservation option available subject to implementation, policy, and supervisory validation.
Designed to assist client compliance with electronic recordkeeping rules.Geographically distributed infrastructure, automated database replication, and documented failover runbooks designed to support client business continuity programs.
Assists client compliance with applicable operational resilience rules.Technology & Service-Provider Ecosystem
Integration design supporting eligible third-party qualified custodians, registered transfer agents, and messaging standards.
* Note: Service provider and technology references identify potential technical and custody-workflow integrations. Inclusion does not imply endorsement, joint venture, or regulatory affiliation unless explicitly governed by client-executed agreements.