PLI's Fintech and Regtech in the Financial Services Industry: Current Issues for Investment Advisers and Broker-Dealers 2026

PLI's Fintech and Regtech in the Financial Services Industry: Current Issues for Investment Advisers and Broker-Dealers 2026

New York, NY
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Partner Stephanie Nicolas will speak on the panel " Where Technology Meets the Existing Regulatory Framework: Open Issues and Emerging Tensions for Broker-Dealers and Advisers" at PLI's Fintech and Regtech in the Financial Services Industry: Current Issues for Investment Advisers and Broker-Dealers 2026. Panelists will discuss where digital engagement tools, AI-driven personalization and algorithmic recommendations conflict with existing SEC and FINRA rules. The half-day program examines new rules and business trends applicable to fintech and regtech in the securities industry.

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