Crypto Assets: Trends, Regulatory Developments and Resources

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About This Course

Join this session to learn about the latest cryptocurrency regulatory developments including the crypto-assets retail communications sweep and rule proposal, current trends in crypto misconduct, and resources and guidance firms can leverage.

This session will discuss:

• Regulatory Developments:

Crypto-assets retail communications sweep published in December 2023
Disclosure concerns with OBAs/private securities transactions and net capital issues
Themes from crypto survey (regarding firms’ direct and indirect involvement with crypto asset-related activity). To be published Q1 2024. OSE is working with RM on this effort.
Discuss crypto communications rule proposal (if released)
New developments in bitcoin ETFs

• Trends in crypto misconduct

CAI - Financial Crimes: Recent scams, Market manipulation
CAST – What we’re preparing to deal with
Lab - Issues and typologies that are unique to crypto that Lab is looking into
New and unique set of tooling to deal with these threats and the work of CAI/CAST/Lab to align efforts

Lecturers for this Course

Jason Foye Ira Gluck Michael Oh Christine Podolak Jamie Udinson

Lecturer Bios

Jason Foye

Jason Foye is Examination Manager in FINRA's Anti-Money Laundering Investigations Unit (AMLIU). In this role he manages a team of eight examiners located throughout the country and has responsibility for managing AMLIU investigations, consulting with other FINRA staff nationally on AML-related examination, assists in the development of FINRA’s AML priorities and delivers AML training to FINRA staff and associated persons of member firms.

Mr. Foye has been with FINRA for 10 years and previously worked as an examiner in the Florida District before assisting in the AMLIU’s creation five years ago. He is a graduate of FINRA’s Excellence in Management program at Wharton and is a Certified Anti-Money Laundering Specialist (CAMS), a Certified Fraud Examiner (CFE) and has been an invited speaker at numerous industry sponsored conferences focused on AML trends and issues.

Ira Gluck

Ira Gluck is a manager in FINRA’s Advertising Regulation Department. In this role, he works on policy and investigative issues involving complex products and novel regulatory concerns. Mr. Gluck’s previous positions within FINRA included managing the Emerging Regulatory Issues team within the Risk and Strategy Department, as well as heading the Strategic Initiatives Group in FINRA’s Enforcement Department.

He also served in various investigative and management roles in the Enforcement and Member Regulation Departments of NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Mr. Gluck received his bachelor’s degree from the University of Pennsylvania and completed both a master’s degree and M.B.A. at the University of California, Irvine.

Michael Oh

Michael Oh is head of FINRA’s Blockchain Lab and has a background in financial markets, macroeconomics and cryptocurrencies. Prior to the Lab, he was a Director in FINRA’s Office of Financial Innovation and prior to FINRA, he spent two years in the cryptocurrency space as an entrepreneur, consultant and lecturer.

Michael has spent over a decade in emerging markets, first as an international economist for the US Department of Treasury and then as a sovereign debt and currency investor at T. Rowe Price. Mr. Oh earned an MBA from the MIT Sloan School of Management and MPA in International Development from the Harvard Kennedy School of Government.

Christine Podolak

Christine Podolak is a Senior Director in FINRA’s Market Regulation Department, currently heading the Crypto Asset Surveillance Team. In her previous role, Mrs. Podolak developed and lead FINRA’s Exchange Traded Product Surveillance & Investigations Team, focused on identifying risks and market abuse pertaining to complex trading in correlated products.

Before joining FINRA, she oversaw regulatory investigations at NYSE Arca and also worked in various roles at RBC Capital Markets. She holds a BS degree in Finance from Northern Illinois University and an MBA from DePaul University.

Jamie Udinson

Jamie Udinson is the Senior Director overseeing the newly formed Crypto Asset Investigations unit within FINRA’s National Cause and Financial Crimes Detection Programs.

Prior to this role, Jamie was responsible for strategic initiatives across Member Supervision’s many groups, including Firm Exams, Risk Monitoring, the Member Application Program, and National Cause and Financial Crimes Detection Programs.

During her 15 years at FINRA, Jamie has served in both the Member Supervision and Enforcement Departments. Jamie has an MBA from La Salle University and is a Certified Anti-Money Laundering Specialist.

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Crypto Assets: Trends, Regulatory Developments and Resources

About This Course

This session will discuss:

• Regulatory Developments:

• Trends in crypto misconduct

Lecturers for this Course

Spend less and get more

Dedicated CLE Manager

Riveting Content & an Exceptional Library

Free Customized CLE Tracker

Online, Audio CD, DVD, iOS/Android App, USB Stick

Want Different Options?

Subscribe for Course Updates and News

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

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