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Meet HAL, Your New Robo-Adviser: SEC Regulatory Guidance For Robo-Advisers

“Hello, Dave. You're looking well today.” In the iconic science fiction movie, 2001: A Space Odyssey, the HAL 9000 computer courteously greeted his astronaut human companion Dave Bowman. HAL was a Heuristically...more

Should the SEC Allow FinTech Firms to Play in a Sandbox?

The growth of financial services technology (FinTech) presents tremendous opportunities for the industry. However, the growth of FinTech also poses substantial challenges to regulators including the U.S. Securities and...more

The Devil Is in the Details: SEC Regulation of Blockchain Technology

Blockchain technology has captured the imagination of the financial services industry. Unfortunately, the adoption of the technology is impaired by a lack of clarity from regulators including the U.S. Securities and Exchange...more

A Potentially Promising Approach to Regulation of FinTech or Should the U.S. Adopt a Regulatory Sandbox?

The Office of the Comptroller of the Currency (“OCC”) recently published a proposal to bring emerging financial technology (“FinTech”) companies within the scope of the agency’s jurisdiction. The proposal is useful as part of...more

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