SEC and OCC seek balance with FinTech firms

In November, industry participants and their regulators convened at the SEC for a special forum on the use of financial technology. In recent years, large amounts have been invested in fintech platforms such as automated investment advisers (robo-advisers), distributed ledger (blockchain) technology for trading, settlement and clearing processes, and online portals (including crowdfunding) for capital formation. Read more: www.jdsupra.com