This blog post will briefly explore operational, strategic, and regulatory considerations related to the use of financial technologies by financial institutions in the COVID-19 era.
We specifically view these considerations...more
6/24/2020
/ Coronavirus/COVID-19 ,
Defense Strategies ,
FDIC ,
Financial Institutions ,
FinTech ,
NCUA ,
New Guidance ,
OCC ,
Operational Requirements ,
Popular ,
Regulatory Standards
On June 10, 2020, the Financial Industry Regulatory Authority (FINRA) issued a summary report regarding the existing and emerging uses of artificial intelligence (AI) by securities industry market participants. The report,...more
The following update highlights recent corporate governance hot topics and trends for directors of public companies.
Board Oversight of Mission-Critical Risks -
In June 2019, the Delaware Supreme Court allowed a Caremark...more
8/25/2019
/ Board of Directors ,
Caremark claim ,
Corporate Governance ,
DE Supreme Court ,
Disclosure Requirements ,
Diversity ,
Dodd-Frank ,
Duty of Loyalty ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Reporting ,
Internal Controls ,
Oversight Duties ,
Popular ,
Regulation S-K ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation
Earlier this week, CFTC Chairman Christopher Giancarlo testified before the House Agricultural Committee. The following are highlights of “Fin Tech” issues addressed during the course of that testimony....more
10/13/2017
/ Agricultural Sector ,
CFTC ,
Commodities ,
Congressional Investigations & Hearings ,
Cryptocurrency ,
Digital Currency ,
Digital Single Market ,
FinTech ,
Fintech Charter ,
Global Marketplace ,
Innovation ,
Jurisdiction ,
Legislative Agendas ,
Popular ,
Regulatory Reform ,
Startups
On July 25, 2017, the Securities and Exchange Commission (“SEC”) released groundbreaking materials relating to blockchain tokens. These materials provide significant and welcome insight to the SEC’s and its staff’s thinking...more
7/27/2017
/ Alternative Trading System (ATS) ,
Blockchain ,
Digital Currency ,
Financial Institutions ,
Financial Markets ,
Initial Coin Offering (ICOs) ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Investor Advisory Committee ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Unregistered Securities ,
Virtual Currency