SECURITIES AND OTHER FINANCIAL PRODUCTS
FINTECH , REGTECH , AND THE FINANCIAL SERVICES INDUSTRY
Edited by Clifford E . Kirsch ( Eversheds Sutherland ( US ) LLP )
This title navigates the emerging fintech and regtech developments impacting financial services industry practitioners , broker-dealers , and in-house counsel . Its editor is a leading financial services attorney who oversees the Practising Law Institute ’ s BD / IA : Regulation in Focus blog on broker-dealer and investment adviser legal developments . The book features the insights of 39 experts and offers new case analysis and regulatory discussions around decentralized finance , blockchain and digital assets , federal agency guidance on cybersecurity safeguards , and the Advisers Act and the Investment Company Act .
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1 looseleaf volume , 1,350 pages , $ 488 , Item # 317392 , ISBN 978-1-4024-3769-4 , Updated annually or as needed
CONTENTS
PART I : INTRODUCTION 1 Approaching Fintech , Regtech , and Suptech 2 Fintech Jurisdictional Issues 2A Bank Partnerships with Fintechs
PART II : BUSINESS APPLICATION OF FINTECH 3 Artificial Intelligence in Financial Services 4 Raising Equity Capital Through Regulation Crowdfunding 5 Regulation of Digital Advisers 6 Model Risk Considerations 7 Money Transmission Licensing Issues for Fintechs 8 Financial Technology Platforms 8A Decentralized Finance ( DeFi )
PART III : BLOCKCHAIN TECHNOLOGY AND CRYPTOCURRENCIES ; DIGITAL ASSETS 8B Blockchain and Digital Assets 9 Blockchain Law : The Regulation of Digital Assets in the Capital Markets 10 Bank Regulation of Cryptoasset-Related Activities 11 Blockchain Technology and the Investment Management Industry
PART IV : DATA PRIVACY |
12 |
Financial Privacy Law |
12A |
Privacy Laws Applicable to Fintech Companies : An Overview |
13 |
Financial Services Cybersecurity |
14 |
Regulation SCI and Trends in IT and Cybersecurity Regulation , Compliance , |
and Enforcement |
15 |
Big Data : Legal and Compliance Considerations for Investment Managers |
CLIFFORD E . KIRSCH
PART V : ANTI-MONEY LAUNDERING IN THE FINTECH CONTEXT 16 Fintech and Money Laundering : New Financial Technology and
AML / CFT Risks 17 Selected Regulations Relating to Fintech 18 Ethics and Compliance Issues for Providers of Fintech Services
PART VI : DELIVERY OF FINANCIAL SERVICES AND PRODUCTS |
19 |
Financial Services Electronic Signatures and Electronic Records |
20 |
The Electronic Distribution of Mutual Funds |
PART VII : REGTECH 21 Financial Services Firms ’ Use of Data Analytics and Technology in Compliance 22 Regulators ’ Use of Data Analytics
Table of Authorities Index
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