• Studying the SEC’s recent report on the meme stock experience and their guidance on the gamification of broker dealer platforms and payment for order flow practices

• Examining social media’s influence on trading as evidenced by the GameStop frenzy in which individual investors organically used Reddit and Twitter to drive up the company’s stock price

• Adjusting your firm’s trade surveillance monitoring systems to account for digital interactions and mitigate financial crime risks such as market manipulation by bad actors

Moderator:

John Davidson, Global Head of Financial Crime and Compliance, WisdomTree Digital Assets  

Presenters:

Sarah Green, Principal, Global Head, Financial Crimes, Vanguard 

Jamie Udinson, CAMS, Senior Director and Strategic Lead, Office of Strategy and Program Risk, Member Supervision, Financial Industry Regulatory Authority (FINRA)

Aicha Ziba, Senior Compliance Officer/Vice President, Financial Crime Compliance, Goldman Sachs