As regulators continue to increase their oversight of financial services firms regarding the regulatory challenges presented by digital assets (including digital assets that are non-securities), it is important for brokerage firms and hedge funds to stay abreast of the evolving regulatory landscape. This webinar will discuss current regulatory approaches to digital assets by the SEC and FINRA as well as the Biden Administration’s Executive Order on Cryptocurrencies.
By the end of the webinar, participants will be able to:
- Describe the SEC regulatory approach to treating digital assets as securities and non-securities.
- Describe FINRA Rules impacting broker-dealers such as outside accounts and private securities transactions pertaining to digital assets DOL Compliance Guidance on Plan Investments in Digital Assets
- Explain the Biden Administration Executive Order on Cryptocurrencies and its potential impact on the financial services industry including AML.
- Discuss FinCen guidance regarding convertible virtual currencies
Program Level: Foundational
Target Audience: Anyone who wants to learn about digital asset compliance, such as staff from compliance, legal, operations, IT, middle office, or HR, and regulators who work closely with various aspects of the securities markets.
Advance Preparation: None
Computers and Financial Calculators: N/A
Recommended CPE Credits: 2.4
Duration: 2 Hours
Time: 2:00-4:00 p.m. ET