Fintech, Regtech, and the Financial Services Industry examines technological innovation and its effect on regulated financial markets focusing on the opportunities which they bring to the marketplace, as well as the emerging regulatory framework.
Highlights of this update include:
- A new Chapter 6, Model Risk and Regulatory Considerations for Artificial Intelligence and Other Complex Models, outlining the core principles of model risk management for fintechs and other financial services participants, as well as the key risks introduced by complex models (including AI), and the emerging regulatory frameworks for model development and use
- Chapter 8B, Blockchain and Digital Assets, has been extensively updated to reflect recent regulatory developments regarding digital asset securities, including statements from the SEC and CFTC and Digital Asset-related case law
- Chapter 21, Financial Services Firms’ Use of Data Analytics and Technology in Compliance, includes an updated discussion of the increased automation which reflects the inclusion of AI agents (Section 21:3.2)
- Chapter 22, Regulators’ Use of Data Analytics, provides an updated discussion following the SEC’s use of AI tools to further its regulatory mission (Section 22:3.6)
- Updates to the Table of Authorities and Index
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