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House Hearing on SEC’s Approach to Rulemaking

November 15, 2023 by

On November 2, 2023, the U.S. House of Representatives Financial Services Subcommittee on Capital Markets held a hearing on what was termed, ‘The SEC’s Agenda: Unintended Consequences for U.S. Capital Markets and Investors” to explore whether the enforcement actions and new proposals and regulations put forth by the SEC was inadvertently harming the market.… Read More

Blog | Cryptocurrency & Digital Asset Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance

The New California Digital Asset Bill

November 14, 2023 by

What does the new Digital Financial Assets Law mean for firms and individuals in the investment advisory space?
Investment companies and investment advisers managing digital assets may be required to comply with regulations under the new Digital Financial Assets Law. Conversely, broker-dealers are exempt along with banks and technology network providers. In addition, the new law exempts individuals or entities who manage digital asset securities which is a digital financial asset pegged against government-backed currency.
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Blog | Form ADV & Disclosure Documents | Investment Companies

“Harmonization Rules” Provide Relief For Dually Registered Operators

September 20, 2013 by

Recently, the Commodity Futures Trading Commission (“CFTC”) adopted final rules (the “Harmonization Rules”) amending the compliance requirements for operators of investment companies (“RICs”) registered with the Securities and Exchange Commissions (“SEC”), who are also subject to registration as commodity pool…

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