Archives: FinTech

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SEC Scrutinizes Use of Fintech by Broker-Dealers and Investment Advisers

The Securities and Exchange Commission (“SEC”) recently issued a request for information and public comment on the use of new and emerging technologies by investment advisers and broker-dealers that suggests potential regulatory action to come.[1] According to its release, the SEC is seeking to understand how registrants — whether online brokerages, robo-advisers, internet investment advisers, … Continue Reading

Regulator Seeks Comments on DeFi; Crypto Firms Announce Products, Licenses, DAO Application Updates; NFT Boom Continues; OFAC Adds Bitcoin Address

In this issue: • NCUA Seeks Comment on DeFi, Crypto Firms Launch Products, Gain Licenses • Reports Describe Developments in Decentralized Platforms and FinTech Funding • Fashion, Sports, Art and Music: the NFT Market Continues to Boom • OFAC Adds Bitcoin Address to SDN List, Anchorage Selected for USMS Services NCUA Seeks Comment on DeFi, … Continue Reading
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