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Regulators 'looking to send a message to the market'
FINRA is seeking a list identifying each crypto-related communication provided and firms WSPs
'Proactive compliance' comes down to three things, said Enforcement Director Gurbir Grewal. 'That’s what we’re looking for from each of you'
Exams focus on alt data, suspicious "wins"
More than one in five cases involved fees, expenses or valuations
'Everyone’s guessing at this point'
Last minute tips as Nov. 4 deadline draws near
Examiners, enforcers focused on conflicts, disclosures, experts warn
'Broken windows' gets industry workout
A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads
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