1-Hour Program

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As technological advances and growing demand for faster and cheaper products and services transform the financial services landscape, non-bank financial technology companies (“fintech companies”) operating outside the bank regulatory framework are increasingly offering services that were historically provided exclusively by banks. The emergence of fintech companies in lending and payments challenges the traditional notion of banking, straining the antiquated regulatory system and raising questions for practitioners and policymakers alike. Central to those matters is the longstanding concept of licenses and charters, legal documents issued by a state or federal government that authorize an entity to engage in banking services and obligate it to abide by specific rules. This panel will focus on the process of licensing and chartering. It will consider the many pathways and strategies available to firms to navigate the complex regulatory environment and the avenues policymakers might choose to strengthen fintech oversight, as the Biden administration puts its stamp on the regulatory agencies. 

 What You Will Learn

  • The transformation of finance and associated regulatory challenges
  • Chartering and licensing pathways for nonbank fintech companies 
  • Recent trends and strategic considerations in choosing charters
  • The road ahead for policymaking


PLI’s Studio Briefings are on-demand video CLE programs that feature an intimate and engaging round table discussion format with legal and industry experts addressing a range of topics.  Visit our landing page for our library of PLI Studio Briefings.

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