Fintech regulations

As more wealth management companies roll out cryptocurrency resources for advisors, here’s what’s still holding some planners back.

Early comments from Chairman Gary Gensler have thrown cold water on speculation that the regulator would quickly approve a crypto fund.

The popular trading app omitted information about its payment for order flow practice, the regulator says.

The state’s securities regulator claims the popular app uses “gamification” to manipulate customers and fails to prevent frequent outages on its trading platform, among other misconduct.

A second-term Trump administration would likely continue its deregulatory efforts, focus on Fannie Mae and Freddie Mac's exit from conservatorship, and seek to facilitate fintech participation in the banking system.

Members of Congress question whether the company is doing enough to protect inexperienced customers engaging in high-risk investing.

From digital advice to fee transparency and fintech investment, the pandemic has touched almost every corner of wealth management.

But the new rules may be a boon for some fintech firms.

The SEC and FINRA have launched groups focused on better understanding this growing area of the industry.

The fintech company, which was forced to rebrand its cash management product last year after misleading marketing caused a backlash, is seeking a national bank charter.

Andreessen Horowitz — one of the richest and most famous firms on Sand Hill Road — is giving up its VC designation.

The regulator laid out detailed guidelines for how planners should be communicating with clients electronically.

Robinhood Financial has rebranded its service, deleted tweets about its launch and scrubbed the page from its website.

The fintech's new products may violate several banking and securities regulations, industry officials say.

Should it be custodians? Or the clients themselves? Bob Veres picks a side.

Concerns include preparing for new SEC reporting rules and modernizing operational infrastructure.

An ideologically driven political climate complicates the evolution of global interoperable mobile-driven commerce.

When legacy tools only address known risks, firms may be overdue for an upgrade.

Regulators including FINRA are looking at ways to help spur innovation.

The ability for consumers to access and share data in one place could transform financial advice.