If you are a securities industry participant seeking to engage in digital asset-related activities, it is time to develop and enhance your compliance practices, says a risk alert by the SEC’s Division of Examinations. ...more
3/3/2021
/ Books & Records ,
Compliance ,
Custody ,
Digital Assets ,
Disclosure Requirements ,
Investment Adviser ,
Investment Company Act of 1940 ,
Portfolio Managers ,
Registration ,
Securities ,
Securities and Exchange Commission (SEC)
Beginning October 1, 2017, investment advisers filing Form ADV with the Securities and Exchange Commission (the “SEC”) must file using the amended form adopted by the SEC on August 25, 2016 (the “Amended Form ADV”). According...more