Posts from December 2016.

Today, FINRA fined 12 firms $14.4 million for failing to maintain millions of electronic records in “write once, read many” (WORM) format. FINRA’s recent flurry of enforcement activity is a clear signal that regulators will amplify their focus on firms to ensure the safeguarding of confidential customer data and the...Read More

On December 2, 2016, the Office of the Comptroller of the Currency announced that it will be moving forward with considering applications from financial technology (fintechs) companies to become special purpose national banks. Jennifer Newton explains what this decision means for fintechs.Read More

Search Blog

Subscribe Today

Follow Us

Recent Posts

Popular Categories



Jump to Page

Shutts & Bowen, established in 1910, is a full-service business law firm with approximately 270 lawyers located in eight offices across Florida.

By using this site, you agree to our updated Privacy Policy and our Terms of Use.