Author: John Gentile

The Bitcoin 2022 Conference, held in South Beach April 6-9, was very well attended with  upwards of 25,000 attendees, a…

Investing in cryptocurrencies represents a relatively new alternative investment opportunity to diversify an investment portfolio to many investors. To registered…

We are witnessing the emergence of Bitcoin as a new (and growing) asset class among institutional investors – a rather…

The SEC continues to scrutinize principal and cross-trade transactions in the private fund world. Are such trades illegal? No. In…

As the June 30, 2020 compliance date for the SEC’s Regulation Best Interest (“Reg BI”) draws near, broker-dealers are scrambling…

The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on…

FINRA has consolidated its three examination programs into a single program, a process that started in October 2018. As part…

The “annual” in annual review is a misnomer! That was one of the key takeaways from a session conducted at…

Long gone are the days when compliance was grudgingly accepted as a necessary optic to largely allay the regulators and…

At FINRA’s recent annual conference in Washington D.C., President and CEO Robert W. Cook and Executive Vice President of Member…

Maintaining tailored policies and procedures is a critical component of an adviser’s internal controls. Time and time again, we’ve heard…