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February 3, 2021 @ 12:11 pm By JD Alois
FINRA’s 2021 Report on Examination and Risk Monitoring Program mentions several current topics including digital assets and “game like” trading.
According to the report, Exam Findings regarding digital asset trading has uncovered shortcomings when it comes to investors using digital asset marketplaces. To quote the report:
“
Deficient Digital Assets Communications – Failing to balance promotional statements with prominent risk disclosures; including false, misleading or unwarranted statements; using the same firm names, websites and other materials for broker-dealers and their digital asset affiliates; not identifying the (non-broker-dealer) entities responsible for digital asset offerings; and implying that digital assets were offered by the broker-dealer.”