In the rapidly evolving FinTech space, stakeholders from large corporations to small startups are required to stay abreast of the latest legal developments and regulatory trends. Often, insights from experienced legal professionals prove invaluable.
On October 3, from 2:00 pm to 3:00 pm EDT, a noteworthy webinar is set to take place. Titled “FinTech University: FinTech, SEC, and OFAC Investigations”, the event intends to shed light on FinTech-related investigations conducted by two major U.S. regulatory bodies; the Securities and Exchange Commission (SEC) and the Office of Foreign Assets Control (OFAC). Understanding how these regulatory bodies function and how they conduct investigations can be indispensable tool in mitigating regulatory risks and ensuring compliance.
The webinar’s reputable line-up of presenters include Matthew Lindenbaum and Robert Lindhom from Nelson Mullins, and will be moderated by Richard Levin, the chair of Regulation Practice. Attendees can expect to gain insights into the workings of these investigations, gleaned from the years of industry experience of the attorneys.
Investigations by both the SEC and the OFAC in the FinTech area often carry heavy legal and financial implications. It is therefore imperative for corporations and startups alike to understand the nuances of such investigations, to effectively navigate regulatory complexities and reduce potential infractions.
This insightful webinar is one of the many attempts to raise awareness of the regulatory landscape within the FinTech industry, thereby assisting legal professionals in keeping up with the dynamic nature of FinTech laws and regulations.