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Compliance Stack Overview (Reg CF & Reg A+)

This document outlines the roles, responsibilities, and technology integrations that make up R. Block Nation’s regulatory compliance stack during its dual raise campaign.

🛠️ Platform Compliance Architecture

Component Partner / Tool Purpose
Funding Portal TBD (FINRA-regulated) File Form C and/or Form 1-A; escrow agent liaison
Escrow Provider North Capital Manages escrow for both Reg CF and Reg A+ raises
Compliance Ops Kore (Free Forever Plan) Manages Cap Table, onboarding, shareholder records
Token Management Settlemint Issues tokenized securities and controls lifecycle
Legal Oversight Outside Counsel (post-raise) Handles Reg A+ filings, contract enforcement
Hosting & UI Custom White-Label UI Investors access raises on issuer-branded domain

🔁 Process Workflow

  1. Issuer Onboarding
  2. Documents collected via Kore

  3. Compliance reviewed in partnership with funding portal

  4. Raise Setup

  5. Reg CF: Funding portal files Form C
  6. Reg A+: Partner files Form 1-A (post legal review)

  7. Portal embeds raise into R. Block Nation's domain

  8. Investor Flow

  9. Investor lands on issuer-branded page
  10. KYC/AML handled by portal + Kore

  11. Funds flow into North Capital escrow account

  12. Post-Investment

  13. Tokens issued via Settlemint
  14. Investors receive access to dashboards via Kore
  15. Revenue-sharing smart contracts activated

⚖️ Escrow Triggers

  • Reg CF Escrow Trigger: ~$50K–$75K (soft launch)
  • Reg A+ Escrow Trigger: TBD per Form 1-A structuring

These thresholds will activate marketing campaigns and unlock operational budgets.

🔒 All compliance workflows adhere to SEC rules and are monitored in coordination with licensed intermediaries.