Latest opinions that Harriet Christie has shared on Finextra

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Harriet Christie

Chief Operating Officer

Mirrorweb

Member since

06 Jan 2022

Location

Manchester

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Harriet's opinions

The SEC's New Marketing Rule: How to Stay Compliant and Avoid Big Fines

The U.S. Securities and Exchange Commission’s (SEC’s) Marketing Rule was approved in December 2020 and came into effect on May 4, 2021. From that point, Registered Investment Advisers (RIAs) have had an 18-month transition period — until November 4, 2022— to fully adhere to its updated regulations. This article will delve into how and why it has ...

14 September 2022 /regulation Financial Services Regulation

Unpacking President Biden's Crypto Executive Order

Following a year of intense highs and lows in the crypto market, March 2022 saw speculation intensify around a White House Executive Order that was supposedly imminent. President Biden signed the document on Wednesday March 9th, in what many viewed as a potential watershed moment for the industry. Legislative upheaval is, however, a meticulous pr...

18 July 2022 /regulation /crypto Cryptocurrency Insights

Shifting Goalposts: The Many Challenges of a Chief Compliance Officer

A new framework was recently put forward by the National Society of Compliance Professionals (NSCP), as it seeks to better define its members' personal liability in a firm’s regulatory mishaps. It appears that compliance officers are feeling vulnerable as regulations intensify around them. And who can blame them, considering the additional pressur...

17 May 2022 /regulation /people Financial Services Regulation

How Regulators are Tackling the 'Wild West' of Cryptocurrency

2021 was a major year for cryptocurrency. We witnessed all-time-highs and steep plummets, but one clear trend amongst the volatility is that public discussion on the topic reached hitherto unseen levels. This was fueled by such diverse factors as bitcoin upgrades, NFT artwork, China’s September ban, and Elon Musk’s SNL antics. The spotlight has c...

07 March 2022 /regulation /crypto Trends in Financial Services

FINRA Reviews Rules Around Social Media Influencers - We Can’t Say They Didn't Warn Us

On July 22nd, FINRA CEO Robert Cook revealed that a sweep related to financial services influencers ‘is coming’. It eventually arrived in September, hot on the heels of the SEC requesting comment on the ‘digital engagement practices’ used by investment advisers and broker-dealers. The SEC was most interested in how tools are used that appeal to in...

07 January 2022 /regulation /people Trends in Financial Services