As the crypto asset space has grown, FINRA has evolved its oversight of the crypto asset activities of FINRA member firms and their associated persons. In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from Jamie Udinson, Senior Director of the Crypto Asset Investigations team, Taylor Etzell, a Senior Principal Investigator, and Jason Foye, Senior Director and head of FINRA's Crypto Hub, who provide insight into FINRA's Crypto Asset Investigations Team.
We learn more about this dedicated group of investigators specializing in conducting complex crypto asset investigations and the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space.
Resources mentioned in this episode:
Episode 71: Overlapping Risks, Part 1: Anti-Money Laundering and Cybersecurity
Episode 72: Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation
Episode 117: Membership Application Program
Episode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Rule 3270: Outside Business Activities of Registered Persons
Rule 3280: Private Securities Transactions of an Associated Person
FINRA Blog: An Inside Look into FINRA’s Crypto Asset Work
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team
Preparing for Change: What to Know About the Shift to T+1
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team
MRTS 2.0: A Redesign for a Rapidly Evolving Market
An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry
Investors of Color: New Insights from FINRA’s Investor Education Foundation
From NCFC to Enforcement Head: Reintroducing Bill St. Louis
Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report
Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
2023 Small Firm Conference: A Fireside Chat with Robert Cook
Scary Money: The Latest Research from FINRA Investor Education Foundation
2023 Ketchum Prize: The Ultimate Fraud Fighter
Optimizing Efficiencies: An Update to FINRA’s MAP Transformation
FINRA’s Blockchain Lab: Regulation and Innovation For The Future
An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Facilitation, Formation and Feedback: FINRA’s Reg Notice on the Capital Raising Process
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