SEC to up scrutiny of firms offering or giving advice about crypto
Registered crypto brokers and advisors may need to be on edge when giving advice this year, after a recent warning from the SEC. Go to Source Powered by WPeMatico
investment advisers
Auto Added by WPeMatico
The SEC Votes to Modernize Regulatory Framework for Derivatives Use
The US Securities and Exchange Commission (SEC) will enhance the regulatory framework for derivatives use by registered investment companies after passing a vote to either change or amend existing rules. As part of the new framework–which covers mutual funds, exchange-traded funds (ETFs), and closed-end funds–operators must undertake to implement a written derivatives risk management program. … Read more
