Tag: Digital Assets
Webinar Recap: Navigating the Evolving Digital Asset Regulatory Landscape
As regulatory frameworks for digital assets continue to develop, investment advisers must stay informed about emerging policies and compliance requirements. The IAA recently hosted a webinar on this topic — here’s what you might have missed.
May 15, 2025
Tags: Cryptocurrency, Digital Assets
Defining Crypto’s Security Status
On March 21, the SEC kicked off its “Spring Sprint Toward Crypto Clarity” series with a roundtable on the status of crypto assets under federal securities laws. Here are some key takeaways.
March 28, 2025
Tags: Cryptocurrency, Digital Assets
SEC to Host Roundtables on Crypto and AI, AI Also Discussed at Investor Advisory Committee
The SEC is holding public roundtables in March on crypto assets and artificial intelligence.
March 06, 2025
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
Tags: AML, Artificial Intelligence , Cybersecurity, Digital Assets, Fiduciary, Marketing Rule, Private Funds, Trading
Compliance Challenges in the Age of Crypto
This article discusses the risks and obligations that investment advisers should carefully consider before choosing to provide investment advice related to crypto assets.
September 23, 2022
Tags: Compliance Corner, Compliance Policies, Digital Assets
SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
June 30, 2022
Tags: Climate, Compliance Testing, Conflicts of Interest, Cybersecurity, Digital Assets, ESG, Fees and Expenses, Marketing Rule, Private Funds, Research, Survey, Valuation
From Orange Groves to Digital Assets, the SEC Doubles Efforts on Crypto Enforcement
This article discusses considerations for advisers before deciding whether to provide advice on digital assets.
May 25, 2022
Tags: Digital Assets
SEC Grows Crypto Assets and Cyber Unit in Division of Enforcement
SEC increases size of Enforcement unit devoted to crypto assets and cybersecurity.
May 13, 2022
New York’s Financial Regulator Provides Virtual Currency Guidance
New York’s financial regulator provides guidance on the use of blockchain analytics to maintain compliance for virtual currency businesses.
May 11, 2022
Tags: AML, Digital Assets, NYDFS
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
Tags: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions
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