Bridging the Week by Gary DeWaal: June 10 – 14, and June 17, 2019 (Outside Business Activities; Policies and Procedures)

Published Date: June 17, 2019

The Financial Industry Regulatory Authority reminded members and their employees through a disciplinary action that natural person registrants must advise their employers in advance of all proposed outside business activities not within the ordinary scope of their employment – including when such businesses activities may involve cryptoassets. Likewise FINRA, through another disciplinary action, reminded all financial services registrants of the importance of having up-to-date policies and procedures that reflect actual firm practices and not pie-in-the-sky aspirations or generic instructions. As a result, the following matters are covered in this week’s edition of Bridging the Week:

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ABOUT GARY DEWAAL

Gary DeWaal

Gary DeWaal is currently Special Counsel with Katten Muchin Rosenman LLP in its New York office focusing on financial services regulatory matters. He provides advisory services and assists with investigations and litigation.


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ABOUT KATTEN

Katten is a firm of first choice for clients seeking sophisticated, high-value legal services in the United States and abroad.

Our nationally recognized practices include corporate, financial services, litigation, real estate, environmental, commercial finance, insolvency and restructuring, intellectual property, and trusts and estates.

Our approximately 650 attorneys serve public and private companies, including nearly half of the Fortune 100, as well as a number of government and nonprofit organizations and individuals.

We provide full-service legal advice from locations across the United States and in London and Shanghai.

CONTACT US

Gary DeWaal
Katten Muchin Rosenman LLP
575 Madison Avenue
New York, NY 10022-2585

+1.212.940.6558




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