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
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