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Insights

SEC and FINRA issue joint statement on broker-dealer custody of digital asset securities23 October 2019An eagerly anticipated joint statement on the custody of digital asset securities has now been released by the SEC and FINRA . The statement follows a request for clarity on the application of federal securities laws and FINRA rules to the intermediation and custody of digital asset securities and transactions.

CFTC fine signals focus on cryptocurrency markets5 August 2019

NFA amends swaps supervision requirements11 July 2019 / Article

Adviser conduct interpretation and Form CRS: implication for institutional managers28 June 2019 / Article