The watchdog arm of the Securities and Exchange Commission – the Office of Compliance Inspections and Examinations – issued a Risk Alert summarizing breakdowns in compliance by broker-dealers and investment advisers of their obligations regarding customer information privacy notices and associated policies and procedures. Separately, the New York State Department of Financial Services and a recently declined applicant for a BitLicense engaged in a heated public brawl regarding the cause of the license declination. It was not commensurate with the excitement of the legendary 1975 "Thrilla in Manila" between Muhammad Ali and Joe Frazier, but the fireworks were extraordinarily dramatic by the standards of routine regulatory interactions in a non-litigation setting. 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.
April 21, 2019
April 14, 2019
April 07, 2019
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