Црипто

СЕЦ ће испитати фирме које нуде или дају савете о криптовалутама

02/09/2023
Битцоин Етхереум Невс

Crypto brokers and investment advisers offering or giving advice about cryptocurrencies will be put under the scope of the United States securities watchdog this year.

А 7. фебруар изјава from the Securities and Exchange Commission’s (SEC) Division of Examinations outlined its priorities for 2023, suggesting brokers and advisers dealing in crypto will need to be extra careful when offering, selling or making recommendations regarding digital assets.

It stated that SEC-registered brokers and advisers will be closely watched to see if they followed their “respective standards of care” when making recommendations, referrals and providing investment advice.

The SEC will also examine whether these entities “routinely” review and update their procedures to ensure they meet “compliance, disclosure and risk management practices.”

This announcement was similar to the SEC’s priorities released in 2022, however, it seems this year the regulator is putting more emphasis on standards of care and practices by brokers rather than their consideration of unique risks presented by “emerging financial technologies” истакнута у КСНУМКС.

The most recent statement comes nearly two weeks after a report claimed the SEC је истраживао registered investment advisers that may be offering digital asset custody to its clients without proper qualifications.

Релатед: СЕЦ је процурио личне податке крипто рудара током истраге: Извештај

The SEC’s investigation has reportedly been going on for several months but is now top of the priority list after the collapse of the crypto exchange FTX, according to a report from Reuters.

By law, investment advisory firms must be qualified to offer custody services to clients and comply with custodial safeguards set out in the Investment Advisers Act of 1940.