For Compliance
The National Society of Compliance Professionals (NSCP) is a valuable resource for the broker-dealer and registered investment adviser compliance community. I have had the good fortune to contribute to the NSCP's efforts in a number of ways, among which is writing articles for its Currents publication. ...
More Brain Droppings – Digital Assets Edition
Comedians are some of our best modern-day philosophers, and as I noted earlier, George Carlin was one of the best of the best. He captured his musings, beliefs, etc. in many books. One of which is Brain Droppings, which I shamelessly stole as an inspiration for my micro-blog on LinkedIn.
FTX’s implosion has thrust cryptocurrencies and...
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Not Quite the “Wild West”
Last week Congress received a bill that would grant the Commodity Futures Trading Commission, not the Securities and Exchange Commission, jurisdiction over the growing digital assets market. The goal is to, as CNBC put it, tame the “’Wild West’ crypto...
Not Quite the “Wild West” Continue reading…