Financial Services Regulation For Fintech Companies: Part 2

Law360 (June 18, 2019, 3:45 PM EDT) -- In recent decades, technology-driven innovation has brought new entrants and business models — and often widespread disruption — to one industry after another. But some sectors have seen relatively little displacement of their traditional players. Financial services — which are still dominated in the United States by banks, broker-dealers, insurance companies, fund firms and investment advisers — is an example.

This is in part because financial services enjoy a “regulatory moat.” Firms in the sector are highly regulated, have a distinct culture ingrained with principles of customer protection and disclosure, and invest significantly in compliance infrastructure (trained staff, specialized technology and the...

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