Issues : Regulation
In this second part of a series on fintech regulation, the author explains how regulators can help encourage innovation.
Regulators’ first priority in fintech oversight has to be keeping customers’ information out of the wrong hands.
Bank directors are challenged to understand evolving subjective standards in regulation.
Baker Tilly writes about steps to prepare for an exam.
A recent Securities and Exchange Commission amendment to Regulation A allows small private companies and non-reporting public companies to raise up to $50 million in capital from regular investors without registering with the SEC.
Once again, regulators are zeroing in on inadequate strategic and capital planning processes at many community banks.
With Dodd-Frank seeing its fifth anniversary, compensation regulations are starting to be finalized, says McLagan’s Todd Leone and Liz Kiley.
Stinson Leonard Street LLP attorneys criticize a recent appellate court decision that could harm banks' ability to sell bad debt.
Gregory Lyons of Debevoise discusses the nuances of different asset thresholds and what banks must consider.
This article describes what to consider when planning a growth strategy past the different tiers that trigger more regulation.