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Influencers › FinTech › Financial Services Industry

A&O Shearman

FCA operation against unauthorised finfluencers

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published a press release on its leading international crackdown on illegal financial influencers (finfluencers) in collaboration with regulators from Australia, Canada, Hong Kong,...more

Davis Wright Tremaine LLP

Broker-Dealer Disciplinary Actions: Takeaways From 2024 (So Far)

Davis Wright Tremaine LLP on

The U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Exchanges were active across a host of regulatory issues impacting fintech companies and broker-dealers during...more

Wilson Sonsini Goodrich & Rosati

Fintech in Brief: SEC Action Highlights Questions Related to the Use of Influencers and Index Providers by Investment Advisers

Wilson Sonsini Goodrich & Rosati on

A recent settlement announced by the U.S. Securities and Exchange Commission (SEC) highlights the risks of using social media influencers when marketing investments. It also underscores recent SEC scrutiny on the use of index...more

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