Digital Assets Archives

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

Tags: Artificial Intelligence , Digital Assets

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

Tags: Cybersecurity, Digital Assets, SEC Enforcement

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

President Biden’s Executive Order on Responsible Development of Digital Assets

President Biden has signed an Executive Order outlining a whole-of-government approach to addressing the risks and harnessing the potential benefits of digital assets.

March 29, 2022

Tags: Blockchain, Digital Assets

Birdthistle, Crenshaw Headline IAA Compliance Conference

The SEC’s Crenshaw and Birdthistle spoke at the 2022 IAA Investment Adviser Compliance Conference about cybersecurity, cryptocurrency, and other digital topics.

March 24, 2022

Tags: Caroline Crenshaw, Cybersecurity, Digital Assets, Gary Gensler, William Birdthistle

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