Consumer Finance Monitor Podcast Episode: Regulators Escalate Focus on the Risks of Bank Relationships with Fintechs and Other Third Parties
Fintech Focus Podcast | Managing a Workforce in a Regulated Environment
2024 State Legislative Review: Key Payment Laws and Their Impacts — Payments Pros – The Payments Law Podcast
Consumer Finance Monitor Podcast Episode: Why do Fintechs Want to Become Banks?
Loans, Retail Installment Contracts, and Refinancing Programs — Moving the Metal: The Auto Finance Podcast
Fintech Focus Podcast | Growing a Workforce in a Regulated Environment
The Future of Bank-Fintech Partnerships and Banking as a Service — The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: Interest Rate Exportation Under Attack Part II
Embracing Change & Community: The Keys To Startup Success With Chris Heivly
Navigating Bank-Fintech Partnerships: Avoiding Common Pitfalls — The Consumer Finance Podcast
Third-Party Risk Management in Bank-Fintech Partnerships: Strategies and Insights — Payments Pros – The Payments Law Podcast
A Tale of Two Crypto Cases
Unpacking the Lummis-Gillibrand Payment Stablecoin Act: Implications for the Digital Asset Industry — The Crypto Exchange Podcast
Navigating Fintech-Bank Partnerships: Preparation, Due Diligence, and Onboarding — The Consumer Finance Podcast
Will Resiliency Carry the Digital Asset Sector Through 2024: Navigating the 2023 Regulatory Landscape — The Crypto Exchange Podcast
Consumer Finance Monitor Podcast Episode: An Update on Earned Wage Access Products
Fintech Focus Podcast | What Does AI Safety Mean For Fintechs?
Next Generation Legacy Management - The Essence of Developing, Managing and Implementing a Plan for Future Generations
Instant Decline, Instant Relief? Unpacking the CFPB's Proposed Rule on NSF Fees — Payments Pros: The Payments Law Podcast
Fintech Focus Podcast | Are Regulators Dictating Fintech Deal Terms?
According to recent reports, two U.S. multinational financial technology companies have integrated Ethereum Name Service (ENS), a decentralized naming system built on the Ethereum blockchain, into their payment platforms....more
In November 2022, the Financial Industry Regulatory Authority (FINRA) launched a targeted crypto asset sweep, reviewing more than 500 retail communications related to crypto assets from member firms....more
Senators Inquire about CFPB’s Fintech Agenda - On July 27, 2021, Senator Sherrod Brown, the Chairman of the U.S. Senate Committee on Banking, Housing, and Urban Affairs, sent a letter to the Consumer Financial Protection...more
With offerings across a growing number of online platforms and increased trading volume, NFT issuers, promoters, and buyers should consider the legal and regulatory implications relating to NFTs and federal securities laws. ...more
Summaries of recent legislative and regulatory developments with respect to: •The SEC’s Examination Priorities for 2021- •The SEC’s Focus on Digital Asset Securities- •The SEC’s New Marketing Rule... ...more
It is clear that environmental, social, and governance (“ESG”) issues will be an “enhanced focus” for the SEC in 2021. See, the regulator’s recent announcement of an ESG task force and the Division of Examinations priorities...more
On December 3, 2020, the SEC announced that FinHub (the Strategic Hub for Innovation and Financial Technology) was being upgraded to an independent office. Acknowledging the importance of the all things fintech (emerging...more
Commissioner Brian D. Quintenz Ending His Term at the CFTC - Brian D. Quintenz is ending his five-year term as Commissioner at the Commodity Futures Trading Commission (CFTC). He released a statement on April 28, 2020...more
Asset managers will need to consider how FinTech developments impact their business model in 2020, including developments related to digital asset securities, cryptocurrency-based ETFs and blockchain. In this Bottom Line...more
FINRA held its bi-annual Cybersecurity Conference in January and recently published five take-away real-world experiences from the conference...more
The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on January 7, 2020, and cover eight broad topics: - Protection...more
On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 national examination priorities. This is the eighth year that OCIE has published its fiscal year examination priorities. ...more
In line with its previous guidance, FINRA has granted broker-dealer (but not custodian) status to a digital asset platform. In a follow-up to the July 2019 SEC and FINRA joint staff statement (Joint Statement) clarifying...more
In its continued efforts to learn what broker-dealers and their employees are doing in the digital asset space, FINRA has effectively reissued a regulatory notice requesting that broker-dealers keep FINRA apprised of their...more
On July 8, the staffs of the Division of Trading and Markets (TM) of the US Securities and Exchange Commission and of the Office of General Counsel of the Financial Industry Regulatory Authority, Inc. issued a joint statement...more
The following update is on our Fintech Legal Report: FINRA Issues a Regulatory Notice for Firms to Let FINRA Know About Digital Asset Activities - U.S. Developments - Regulatory Updates - Vermont Enacts...more