Tag: FinTech
5 Questions Every Asset Manager Should Ask a Tech Vendor – Before You Commit
Vendor relationships are critical to operating any investment management business. The right partner can drive significant value for your firm and pay dividends long term. But how do you find the right one in a sea of offerings?
November 01, 2023
Tags: FinTech, Outsourcing, Technology
Senators Discuss Likelihood of Bipartisan Passage of Crypto Legislation
At a Bipartisan Policy Center event on the future of cryptocurrency and blockchain technology, Senators John Hickenlooper (D-Colo.) and Thom Tillis (R-N.C.) expressed a willingness to move forward with bipartisan legislation on cryptocurrency.
March 17, 2023
Tags: FinTech, Blockchain, Congress, Cryptocurrency, Inside the Beltway
SEC Publishes 2023 Examination Priorities
The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.
February 09, 2023
Tags: FinTech, Cybersecurity, ESG, Examinations, Fiduciary, Marketing Rule, Private Funds
High Tech in High Finance | SEC’s FinHub, Compliance Automation
High Tech in High Finance | SEC’s FinHub, Compliance Automation April 19,2021 As in other industries, technological change is driving innovation in asset management. At the 2021 IAA Investment...
April 19, 2021
Tags: FinTech, Columns, Compliance Conference
Maximizing the Benefits of Compliance Technology
Maximizing the Benefits of Compliance Technology By Carlos Guillen, President & CEO, BasisCode Compliance LLC July 10, 2020 It has now been almost 20 years since the first computer...
July 10, 2020
Tags: FinTech, Columns, Compliance, Guest Column, Technology
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
Tags: FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate
SEC’s Gensler Addresses FinTech Priorities
SEC’s Gensler Addresses FinTech Priorities Chairman Says He’s Technology-Neutral, But not Public Policy-Neutral September 3, 2021 Observing that “[n]ew financial technologies continue to change the face of finance for...
September 07, 2021
Tags: FinTech, Cybersecurity, Digital Assets, Gary Gensler
SEC’s Gensler Addresses FinTech Priorities
Chairman Says He’s Technology-Neutral, But not Public Policy-Neutral Observing that “[n]ew financial technologies continue to change the face of finance for investors and businesses” globally, SEC Chair Gary Gensler used...
September 03, 2021
Tags: FinTech, Cybersecurity, Digital Assets, Gary Gensler
SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets
SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets March 1, 2021 Saying activities involved in the offer, sale, and trading of digital assets...
March 01, 2021
Tags: FinTech, Digital Assets, Examinations, Risk Alert
SEC Elevates FinHub to Office December 15, 2020 In a move that elevates FinTech as a priority within the SEC, the agency has announced the formation of a separate...
December 15, 2020
Tags: FinTech
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