FinTechs

Newer Fintech companies typically develop technologies that improve efficiency and data quality throughout the lifecycle of a loan, but the leadership may not be fully informed of the highly regulated environment in which they are entering. Many federal and state regulatory considerations could come into play. Gaps often seen include limited review of the technology for compliance with federal and state law. Our attorneys also have found inadequate state licenses, compliance management systems, policies and procedures, business and regulatory change management functions, third party or vendor management functions, privacy controls and data security processes.

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