Welcome back to the Compliance In Context Podcast! On today’s episode, we welcome in the President of the North American Securities Administrators Association, Melanie Lubin, for an insider’s look into what’s happening at NASAA including new areas of focus like continuing education, Reg BI, senior investors, and much more. 

In our Headlines section, the first-ever bitcoin-linked exchange-traded fund will began trading recently and the SEC provided comments on the regulatory issues involving GameStop trading from January of earlier this year.

Finally, we’ll wrap up today’s show with another installment of History Has Your Back, as we review a posthumous quote from one of the world’s most well-traveled chefs to better understand how we can maximize our knowledge in compliance.

Topics:

Headlines

Interview

History Has Your Back

Quotes:

“And really the ultimate goal is for us to make a determination about whether the rule as it stands is really moving has raised the bar for how brokers act in relationship to their clients and is it really driving the behavior towards the customers best interest.” - Melanie Lubin

“This is important—here's the explanation: customers, particularly elderly customers, tend to be worried that somebody's going to get their hands on their money and all the things that we've taught them to be worried about—But [we] want them to understand that a trusted contact is not a power of attorney, but it's someone that if you’re the person you have a professional relationship with starts to get a little bit worried about what's going on, they could pick up the phone and call that other person.” - Melanie Lubin

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Compliance in Context