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Compliance and Legal Challenges Regarding Fintech

Recorded on: Nov. 15, 2016
Running Time: 00:59:38

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Taken from the Web Program Financial Services Industry Regulatory Compliance & Ethics Forum 2016 recorded November, 2016 in New York.

Compliance and Legal Challenges Regarding Fintech [00:59:38]

  • Regulatory Guidance
  • FINRA’s Digital Advice Release
  • Collaborating with IT
Peter Santori, Kimberly Saunders

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (September 14, 2016)
    James R. Burns, Peter D. Santori

Presentation Material

  • Compliance and Legal Challenges Regarding Fintech
    James R. Burns, Peter D. Santori
(s)
Peter D Santori ~
Kimberly Saunders ~ Associate, Willkie Farr & Gallagher LLP
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