Analysis of the Regulatory Landscape

posted in: Regulatory | 0

One of the most daunting aspects of being a marketplace lender is determining what laws and regulations are applicable to your business. After all, if you don’t come under the authority of a specific regulator (think broker-dealers and FINRA or investment advisers and the SEC), then you might end up being subject to numerous regulatory regimes and at the mercy of multiple regulatory authorities.

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