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Cryptocurrency (42)
Your search for Cryptocurrency returned 42 results.
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5/09/2019 | Content area: Investment Adviser
Undoubtedly, digital assets can be securities if they meet the Howey test. On this point, the SEC has been very clear. In 2017, before my arrival at t...
4/04/2019 | Content area: Investment Adviser
The SEC finds itself in a squeeze given its must abide by a 1946 Supreme Court decision defining a security when justices then couldn’t have even imag...
3/28/2019 | Content area: Investment Adviser
If there’s one key takeaway for advisers in the ABA’s new 353-page report on digital assets it’s that – wherever regulators stand on cryptocurrency le...
3/14/2019 | Content area: Investment Adviser
A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment c...
3/12/2019 | Content area: Investment Adviser
We welcome input and engagement from all interested parties regarding the potential considerations posed by digital assets with respect to the Custody...
2/20/2019 | Content area: Investment Adviser
In approximately August 2018, Gladius self-reported to Commission Enforcement staff. From the beginning of its discussions with Commission staff, Glad...
2/08/2019 | Content area: Investment Adviser
There is also great interest in exchange-traded products based on bitcoin or other cryptocurrencies. As I have mentioned in the past, I am concerned t...
11/21/2018 | Content area: Investment Adviser
The SEC has yet again offered up its current thinking on digital securities. On the same day that the Commission settled charges against two more comp...
11/07/2018 | Content area: Investment Adviser
The numerous state and federal regulators in the United States have taken a variety of approaches with respect to cryptocurrency, which makes it diffi...
10/18/2018 | Content area: Investment Adviser
A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new hei...
10/04/2018 | Content area: Investment Adviser
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recomme...
9/27/2018 | Content area: Investment Adviser
The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the di...
9/24/2018 | Content area: Investment Adviser
Arbitration has long been suggested as a possible mechanism for resolving disputes between companies and their shareholders. More than a decade ago, f...
9/12/2018 | Content area: Investment Adviser
Consider first the SEC’s recent decision to deny an exchange’s bid to list shares of the Winklevoss Bitcoin Trust.[12] I dissented from the disapprov...
8/14/2018 | Content area: Investment Adviser
Here's a portion of an OCIE document request letter dealing with cryptocurrencies.
8/02/2018 | Content area: Investment Adviser
The previously signaled next OCIE sweep exam scrutinizing how advisers protect their sensitive data will be kicked off sometime in the next year (IA W...
8/02/2018 | Content area: Investment Adviser
If you’re like most advisers who answered IA Watch’s recent industry survey, you’ve not yet taken up the topic of cryptocurrencies with your staff.   ...
7/26/2018 | Content area: Investment Adviser
IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies.   The exam letter probes whether...
7/25/2018 | Content area: Investment Adviser
A sources shares with IA Watch a copy of an OCIE document request letter that focuses on how the adviser handles cryptocurrencies.
5/24/2018 | Content area: Investment Adviser
“Operation Cryptosweep” sounds like the latest Tom Cruise Mission Impossible summer blockbuster. In reality, it’s one of the largest coordinated serie...


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