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Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
FromFINRA Unscripted
ratings:
Length:
13 minutes
Released:
Jan 23, 2024
Format:
Podcast episode
Description
FINRA recently wrapped up a targeted review of the practices of certain member firms when it comes to communicating with retail investors regarding crypto products and services. On this episode, Ira Gluck, Senior Director, Advertising Regulation at FINRA, joins us to share the results of that crypto asset communications sweep that began in November 2022.Resources mentioned in this episode:Advertising Regulation DepartmentCrypto Asset Communications Targeted Exam LetterCrypto Asset Key TopicsFINRA Blog: An Inside Look into FINRA’s Crypto Asset WorkEpisode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto HubEpisode 137: The Crucial Role of FINRA’s CAI TeamEpisode 138: FINRA’s Blockchain LabRule 2210: Communications with the Public
Released:
Jan 23, 2024
Format:
Podcast episode
Titles in the series (100)
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation: When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views. by FINRA Unscripted