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Content Type: Publications Tagged: 'David Adams'

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Fintech in 2019 – Five trends to watch

31 January 2019


Technology continues to have an enormous impact on financial services and the pace of change shows no signs of abating. Following the bold predictions we made last year, we highlight the five stand-out trends for fintech in 2019.

FINRA Expands Its Digital Asset Information Sweep

12 July 2018


The US Financial Industry Regulatory Authority ("FINRA") last week published a Regulatory Notice (the "Digital Assets Notice" or "RN 18-20") recommending that FINRA member firms provide information about existing and future business...

SEC Information Update to Form ADV FAQs

15 June 2017


On June 12, 2017, the staff of the Division of Investment Management (the “Staff”) of the U.S. Securities and Exchange Commission (the “SEC”) released new guidance in the form of “Frequently Asked Questions” (“FAQs”)...