A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team
FINRA Unscripted
English - September 05, 2023 10:30 - 30 minutes - 27.5 MB - ★★★★★ - 45 ratingsGovernment Business finra compliance regulation regulator financial services stocks bonds stock broker brokerage firm investing Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
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