Chatting With The CCO: Fidelity's Norm Ashkenas

Law360 (July 19, 2019, 7:41 PM EDT) -- Norm Ashkenas helped guide Fidelity's brokerage and retirement products through the 2008 financial crisis and is one of its top compliance executives at a time when standards for financial professionals are in flux.

Ashkenas, chief compliance officer for Fidelity Brokerage Services LLC and Fidelity Personal and Workplace Advisors LLC, told Law360 in a recent interview about the company's foray into cryptocurrency and the challenges posed the U.S. Securities and Exchange Commission's Regulation Best Interest. Ashkenas said he feels prepared to comply with that rule largely because his team was ready to implement an even stricter standard from the U.S. Department of...

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