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:
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.
June 16, 2019
June 09, 2019
May 19, 2019
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