Tag: Digital Assets
SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets
Saying activities involved in the offer, sale, and trading of digital assets present unique risks to investors, the SEC’s Division of Examinations has issued a new Risk Alert to assist...
March 01, 2021
Tags: FinTech, Digital Assets, Examinations, Risk Alert
Regulators Issue Joint Statement on AML Obligations Related to Digital Assets
On October 11, leaders of the CFTC, FinCEN, and the SEC issued a joint statement reminding “financial institutions,” as defined in the Bank Secrecy Act (BSA), of their anti-money laundering...
December 17, 2020
Tags: AML, Digital Assets
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. The new primer is...
December 21, 2020
Tags: CFTC, Digital Assets
How the Characteristics of Digital Assets Affect Compliance with the Custody Rule
July 27 2020
July 27, 2020
Tags: Bitcoin, Columns, Custody, Digital Assets, Guest Column
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