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Investors should understand that Bitcoin, including gaining exposure through the Bitcoin futures market, is a highly speculative investment .... the Division of Examinations, will closely ...
With more clients querying their advisers on adding crypto to their portfolios, advisers may not be able to avoid the allure of digital assets for ...
Hester Peirce
Now, as a new Chairman is coming into the SEC with a new agenda, is the perfect time for the Commission to consider afresh how ...
Hester Peirce
"Rather than raising fundamental questions about custody under the Advisers Act in the crypto context, the SEC should assist advisers in navigating custody in the ...
Compliance officers should be “skeptical” because bitcoin exchanges have been hacked. Scrutinize disclosures. Understand the products. Confirm that exchanges have been vetted. Look for AML/KYC ...
The focus areas for the DOE's exams tied to digital assets going forward are revealed
Hester Peirce
"The SEC needs a clearer approach to considering applications for crypto ETPs that is more consistent with precedent. On these and other issues, SEC Chairman ...
In sharing the focus areas for the digital asset initiatives, the Division encourages market participants to reflect upon their own practices, policies and procedures, as ...
Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule
To understand something, you first have to define it. The CFTC’s task at hand in releasing its new 36-page Digital Assets Primer encounters that challenge ...
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