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FinTech Law Blog

FinTech Blog offers a range of resources about the latest developments in fintech, regtech, cryptocurrencies, digital assets, and regulatory compliance.

FinTech Week in FinTech

This Week in FinTech #5: SEC Charges Sciens for Compliance Failures

Cody Foster - June 02, 2023

Crypto Moves Overseas

Bo Howell - May 23, 2023

Form N-PX Amendment Reminder & What It Means for You

Cody Foster - May 17, 2023
FinTech Week in FinTech

This Week in FinTech & Compliance #4: SEC Charges Classic Asset Management for Breach of Fiduciary Duty

Cody Foster - May 10, 2023

SEC Risk Alert: Safeguarding Customer Records and Info at Branch Offices

Cody Foster - May 03, 2023
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SEC Staff Issue Bulletin on Duty of Care

Cody Foster - April 28, 2023
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SEC Announces Risk Alert for Newly Registered Investment Advisers

Cody Foster - April 05, 2023
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SEC Check-In: Four SEC Updates You Should Know About

Cody Foster - March 16, 2023
FinTech Week in FinTech

This Week in FinTech & Compliance #3: The FTX Saga Continues

Cody Foster - March 03, 2023
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SEC Proposes Changes to Custody Rule

Cody Foster - March 01, 2023
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New Exemption for Small Business M&A Brokers

Irina Garcia Iglesias - February 21, 2023

SEC Announces Exam Priorities for 2023: What's the Focus?

Cody Foster - February 16, 2023