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FinTech (13)
Your search for FinTech returned 13 results.
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11/15/2018 | Content area: Broker-Dealer
Memo to FINRA as it contemplates ways to monitor and adapt its rules and regulations to the exploding number of FinTech innovations: Tread lightly, pl...
10/04/2018 | Content area: Broker-Dealer
FINRA is finally wising up to the potential of new technologies that assist firms in meeting their compliance obligations. Unfortunately, it is also l...
8/02/2018 | Content area: Broker-Dealer
FinTech is transforming the securities industry in many ways and FINRA wants to make sure it’s supporting innovation while still protecting investors ...
5/03/2018 | Content area: Investment Adviser
Sophisticated algorithms depend on this data being of high quality and being machine readable. When applied to the emerging fields of SupTech and RegT...
4/26/2018 | Content area: CPO/CTA
It’s been one year since the CFTC announced its LabCFTC as a means to encourage FinTech innovations to keep markets on the cutting edge (CPO/CTA Watch...
4/04/2018 | Content area: Investment Adviser
Michael Liberty and his accomplices then stole most of the more than $48 million raised to fund a lavish lifestyle that included private jet flights, ...
3/07/2018 | Content area: Investment Adviser
Although I am excited about the potential for RegTech and FinTech I cannot end this discussion without admitting that they also give me a certain leve...
3/07/2018 | Content area: CPO/CTA
market leaders and regulators, we must take every step possible to thwart cyber-attacks on the world’s financial markets. The cyber threat must take p...
2/22/2018 | Content area: CPO/CTA
The latest cooperation agreement between the CFTC and the FSA has the two regulators promising to work together to spur the use of financial technolog...
2/01/2018 | Content area: Investment Adviser
Advocates holler that FinTech will drive the future of financial services. But first you have to define what it is.   The term “is vague and lacks a p...
5/18/2017 | Content area: CPO/CTA
Saying the nation’s “vital national interest” depends on supporting new technologies to keep our markets competitive, Acting CFTC Chairman Christopher...
5/17/2017 | Content area: CPO/CTA
LabCFTC will be the focal point of CFTC FinTech policy consideration and development. It will be the hub for our engagement with FinTech innovators an...
5/17/2017 | Content area: CPO/CTA
The futures and swaps markets are rooted in the last century, and we now oversee trading that occurs almost exclusively on screens where transactions ...


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