Key Crypto Trends to Watch in 2022
As cryptocurrency continues to gain popularity, there are several key issues that advisers should keep in mind as they work with their clients.
March 18, 2022
Tags: Bitcoin, Blockchain, Digital Assets, Guest Column
DOL Provides Guidance on the Use of Cryptocurrencies in ERISA Plans
The DOL cautions plan fiduciaries to exercise extreme care before they consider adding a cryptocurrency option to a 401(k) plan’s investment menu for plan participants.
March 11, 2022
Tags: Digital Assets, ERISA
SEC IAC Considers Digital Assets, Protection of IRA Investors
The SEC’s Investor Advisory Committee (IAC) recently held two panel discussions, one on digital assets and another on elder financial abuse.
December 10, 2021
Tags: Digital Assets, Elder Financial Abuse, IAC, IRAs
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
Tags: FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate
SEC’s Gensler Addresses FinTech Priorities
SEC’s Gensler Addresses FinTech Priorities Chairman Says He’s Technology-Neutral, But not Public Policy-Neutral September 3, 2021 Observing that “[n]ew financial technologies continue to change the face of finance for...
September 07, 2021
Tags: FinTech, Cybersecurity, Digital Assets, Gary Gensler
SEC’s Gensler Addresses FinTech Priorities
Chairman Says He’s Technology-Neutral, But not Public Policy-Neutral Observing that “[n]ew financial technologies continue to change the face of finance for investors and businesses” globally, SEC Chair Gary Gensler used...
September 03, 2021
Tags: FinTech, Cybersecurity, Digital Assets, Gary Gensler
IAA, DACFP Partner to Offer Members Blockchain and Digital Asset Certificate
The Investment Adviser Association is pleased to announce a partnership with the Digital Assets Council of Financial Professionals (DACFP) to offer IAA members a special discount for a new certification program...
August 17, 2021
Tags: Blockchain, Digital Assets
SEC’s Gensler Discusses Gaps in the Regulation of Digital Assets
In a recent speech before the Aspen Security Forum, SEC Chair Gary Gensler raised investor protection concerns in connection with digital assets and called on Congress to provide the SEC...
August 17, 2021
Tags: Digital Assets, Gary Gensler
SEC Chair Gary Gensler provided an update on regulatory reforms related to security-based swaps in a recent speech, in which he highlighted several areas where he has asked the SEC...
July 27, 2021
SEC’s Office of the Investor Advocate Announces Objectives for 2022
The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy agenda for protecting and promoting the interests of retail investors in its annual...
July 07, 2021
Tags: Custody, Digital Assets, ESG, IAC, Rick Fleming, SEC Investor Advocate