News & Analysis as of

Corporate Governance FinTech

Skadden, Arps, Slate, Meagher & Flom LLP

The Informed Board - Summer 2024

Across industries, companies are facing new and uncertain regulatory pressures and demands in areas including artificial intelligence, sustainability, algorithmic pricing and fintech-bank relations. In this issue of The...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investing in Fintechs – Navigating the UK Regulatory Approval Process

As the UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) consider feedback to their consultation on guidance regarding the UK change-in-controller regime (consultation paper 25/23), we provide a...more

Conyers

Regulatory & Risk Advisory Review: Cayman Islands - April to June 2024

Conyers on

Welcome to the second instalment of 2024 of the Regulatory & Risk Advisory Review. In this edition we cover several Cayman Islands regulatory updates including updates to the Beneficial Ownership Transparency Act, the...more

Sheppard Mullin Richter & Hampton LLP

Federal Reserve Board Issues Cease and Desist Order Against Banking-As-A-Service Provider

On June 14, the Federal Reserve Board (Fed) released a cease and desist order against an Arkansas-based banking-as-a-service (BaaS) provider for compliance and risk management failures. As part of the order, the bank is...more

Skadden, Arps, Slate, Meagher & Flom LLP

Insights – June 2024

Explore the unique considerations for mergers and acquisitions in the AI sector, the return of IPOs, the implications of new Supreme Court decisions and other developments in this edition of Skadden’s quarterly Insights....more

A&O Shearman

MiCAR under the microscope - Part 5: Regulatory requirements applicable to CASPs

A&O Shearman on

The Regulation (EU) 2023/1114 on Markets in Crypto-assets (MiCAR) has further expanded the panel of regulated entities by introducing the regulatory status of crypto-asset service providers (CASPs)....more

K&L Gates LLP

Doing Business in Australia

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Australia welcomes new business and foreign investment by providing a strong economy, a stable political environment and a skilled and talented workforce. Our comprehensive guide to Doing Business in Australia has been...more

A&O Shearman

Key Regulatory Topics: Weekly Update 23-29 Feb 2024

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Amongst the broad range of updates this week, at international level, the FSB published its thematic peer review on MMF Reforms and the BCBS published the outcomes of its meeting held on 28 and 29 February, including that it...more

Orrick, Herrington & Sutcliffe LLP

RegFi Episode 16: Compliance Trends, Challenges and Innovation with Chris Hilliard

In this episode, RegFi hosts Jerry Buckley and Sherry Safchuk welcome Chris Hilliard, COO and founding member of Winnow Solutions, LLC. Chris draws upon his experience as the former chief compliance officer at Happy Money and...more

Orrick, Herrington & Sutcliffe LLP

RegFi Episode 8: The Technological Path to Outcomes-Based Regulation with Matt Van Buskirk

Matt Van Buskirk, co-founder of Hummingbird Regtech, joins RegFi hosts Jerry Buckley and Sherry Safchuk for a conversation about the importance of equipping regulators and in-house compliance teams with the tools and...more

BakerHostetler

New Crypto Products Launch; CBDC and NFT Reports Published; Network Protocol/Governance Updates Announced; Crypto Enforcement...

BakerHostetler on

New Crypto Products Launch in Exchanges, Wallets, and Custody - A recent press release announced the launch of EDX Markets, a “first-of-its-kind digital asset marketplace designed to enable safe and compliant trading of...more

Latham & Watkins LLP

Hong Kong Launches International Carbon Marketplace, Singapore Introduces ESG Hub

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Hong Kong’s Core Climate aims to facilitate trading of carbon credits, while the Hub plans to expedite Singapore’s ESG ecosystem growth. On 28 October 2022, the Hong Kong Exchange and Clearing Limited (HKEX) launched Core...more

Hogan Lovells

Hong Kong government policy announcement on virtual asset exchanges - Hong Kong FinTech Week 2022

Hogan Lovells on

On 31 October 2022, at the launch of Hong Kong’s Fintech Week, the Financial Services and the Treasury Bureau released a policy statement (the “Policy Statement”) providing some additional detail on the Government’s plans for...more

A&O Shearman

UK Conduct Regulator Publishes Policy Statement on Improvements to Appointed Representatives Regime

A&O Shearman on

The U.K. Financial Conduct Authority has published a Policy Statement and final rules on improvements to the Appointed Representatives regime. The AR regime allows authorized firms to appoint representatives to conduct...more

Skadden, Arps, Slate, Meagher & Flom LLP

The Informed Board 2021-2022

Directors must cope with constantly shifting challenges. To help boards navigate these, Skadden launched The Informed Board, a periodic collection of concise articles that provide broad insights about key issues directors...more

Hogan Lovells

FinTech: The Notorious E.S.G

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The position as set out in this article is correct as at 9 December 2021. ESG issues - driven by consumer, investor and stakeholder demand, and rapid regulatory change – have experienced a meteoric rise. They are...more

Morgan Lewis - Tech & Sourcing

UK’s Financial Conduct Authority Publishes Its New 2021/22 Business Plan

The UK’s Financial Conduct Authority (FCA) published its 2021/22 Business Plan on July 15, setting out its future role, priorities, and how it intends to deliver them. The FCA’s website contains a summary and full copy of the...more

BCLP

FCA consultation on Primary Markets Effectiveness

BCLP on

Lord Hill’s review of the Listing Regime along with the Kalifa Review of UK FinTech highlighted specific elements of the listing regime that act as barriers to companies listing. According to the Lord Hill’s review, the...more

The Rodman Law Group, LLC

DAOs: A Legal Analysis

This article is a law and regulatory focused missive on Distributed Autonomous Organizations (“DAO” or “DAOs”). I want to be clear that we are big fans of these structures and believe that they will have a major impact on our...more

Orrick, Herrington & Sutcliffe LLP

ESG: Regolamento (UE) n. 2088/2019 relativo all’informativa sulla sostenibilità nel settore dei servizi finanziari

Il prossimo 10 marzo 2021 entreranno in applicazione alcune delle misure introdotte dal Regolamento (UE) n. 2019/2088 relativo all’informativa sulla sostenibilità nel settore dei servizi finanziari (il “Regolamento” o...more

Robins Kaplan LLP

Financial Daily Dose 10.8.2020 | Top Story: Feds fine Citi $400M over “Longstanding” Governance Failures

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Federal regulators—including the Federal Reserve and the OCC—have fined Citigroup $400 million over “longstanding” failures in the areas of risk management, data governance, and internal controls. In addition to the fine, the...more

Skadden, Arps, Slate, Meagher & Flom LLP

Skadden's 2020 Insights

Despite political and economic uncertainties, markets and deal activity were resilient in 2019, and strong fundamentals remain in place heading into 2020. Companies continue to face a challenging litigation and enforcement...more

Latham & Watkins LLP

10 Key Regulatory Focus Areas for UK/European Wholesale Markets in 2020

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In last year’s publication and in our mid-year progress report, we highlighted the top regulatory focus areas for our clients during 2019, concentrating on wholesale market structures and conduct risk. This publication...more

A&O Shearman

European Commission Publishes Report on Liability for Artificial Intelligence

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The New Technologies formation of the European Commission’s Expert Group on Liability and New Technologies has published a report on liability regimes for artificial intelligence. The report discusses existing laws concerning...more

Latham & Watkins LLP

10 Key Regulatory Focus Areas for UK/European Wholesale Markets in 2019 – Progress Report

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These topics are attracting particular attention because they are either at a key stage in the regulatory change or implementation cycle, or because uncertainty and inconsistency in their recent implementation means that they...more

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