Tag: Digital Assets
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 staff to consider potential rules, and discussed digital asset platforms.
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 report to Congress on objectives for fiscal year 2022, which starts October 1, 2021.
July 07, 2021
Tags: Custody, Digital Assets, ESG, IAC, Rick Fleming, SEC Investor Advocate
SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets
The SEC’s Division of Examinations has issued a new Risk Alert to assist firms in developing and enhancing their compliance practices related to digital securities and other distributed ledger assets.
March 01, 2021
Tags: FinTech, Digital Assets, Examinations, Risk Alert
Not So Fast: Why Compliance Can’t Ignore Digital Assets – Even If the Investment Team Does
Registered investment advisers – even those that do not provide advice about digital assets – are increasingly becoming aware of the need to take digital assets into account when drafting and implementing their codes of ethics.
February 22, 2021
CFTC Releases Digital Assets Primer
The Commodity Futures Trading Commission’s LabCFTC has published a Digital Assets Primer, which builds on a primer on virtual currencies that LabCFTC put out in 2017.
December 21, 2020
Tags: CFTC, Digital Assets
Regulators Issue Joint Statement on AML Obligations Related to Digital Assets
Leaders of the CFTC, FinCEN, and the SEC issued a joint statement reminding “financial institutions” of their anti-money laundering and countering the financing of terrorism (AML/CFT) obligations.
December 17, 2020
Tags: AML, Digital Assets
How the Characteristics of Digital Assets Affect Compliance with the Custody Rule
When Satoshi Nakamoto published a white paper describing an “electronic peer-to-peer cash system” called Bitcoin to an obscure cryptography mailing list in 2008, the last thing on their mind was likely the U.S. federal securities laws.
July 27, 2020
Tags: Bitcoin, Columns, Custody, Digital Assets, Guest Column
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