Products & Services April 8th, 2025 Broadridge Introduces Global Digital Assets Solutions The company created its Digital Asset Solutions to support the growing demand for disclosure and governance solutions for cryptocurrency and...
Compliance April 8th, 2025 Senate Bill Seeks to Reverse Retirement Plan Crypto Warning Introduced by Senator Tommy Tuberville, R-Alabama, the Financial Freedom Act would reverse the Department of Labor’s guidance against including cryptocurrency...
In Practice February 12th, 2025 Most Advisers Say Bitcoin and Digital Assets Misaligned With Fiduciary Duty Advisers see a more favorable regulatory environment but also seek more independent education about cryptocurrency assets.
The Markets February 3rd, 2025 Advisers Increasingly Considering Crypto in Financial Plans Among advisers who recommend investing in cryptocurrencies, the most common allocation remains 2% of assets, according to a Digital Assets...
Compliance May 22nd, 2024 Digital Assets Legislation Passes House of Representatives The bill would define the jurisdictions of the SEC and CFTC for crypto assets but it is likely to be...
Compliance January 10th, 2024 Bitcoin and Brokerage Windows: A Risk for Fiduciaries? The DOL has not yet commented on cryptocurrency investments in the wake of the SEC’s approval of bitcoin exchange-traded products.
Compliance January 9th, 2024 FINRA Annual Report Highlights Crypto, Cybersecurity, Reg BI The industry regulator provided areas of focus for the year ahead to member firms.
Compliance November 27th, 2023 Crypto Remains Massive Compliance Risk for Retirement Fiduciaries Last week, Binance, a crypto exchange, was hit with a record-breaking Treasury settlement.
Compliance November 22nd, 2023 SEC Charges Against Kraken Identify Specific Tokens as Securities The complaint is another sign to 401(k) plan fiduciaries to take care with digital asset availability in plans, according to...
Deals & People November 20th, 2023 Advisory M&A News – 11/20/23 Wealth Enhancement adds two New York-based RIA firms; Bitcoin IRA acquires Shrimpy.io; UBS snags Merrill wealth advisory.
Compliance November 7th, 2023 Hamas Financing Brings Regulator’s Attention to Cryptocurrency Representatives of the Treasury Department and the CFTC said at a SIFMA conference that crypto is a general compliance issue,...
Compliance October 25th, 2023 ‘You Know What the Rules Are,’ Gensler Tells Crypto Industry The oft-critical SEC chair repeated that the cryptocurrency industry is unusually non-compliant with securities laws.
Compliance August 30th, 2023 DOL Beats ForUsAll Crypto Suit A federal court ruled there was no legal basis for complaints challenging the DOL’s compliance bulletin cautioning use of cryptocurrency...
Compliance August 21st, 2023 SEC Fines Fintech Advisory Titan in 1st Marketing Rule Charge The regulator calls the charges a ‘warning’ to investment advisers about how they can market offerings.
Compliance August 1st, 2023 Florida Man Buys Massive Black Diamond with Ill-Gotten Crypto Gains, SEC Says The SEC alleges that Richard Heart offered unregistered cryptocurrency and spent investor assets on personal luxury goods.
Compliance July 20th, 2023 Gensler: SEC Will Continue Enforcement Against Crypto Companies Securities and Exchange Commission Chair Gary Gensler testified that cryptocurrencies are a “highly speculative asset class” and that the crypto...
Products July 11th, 2023 Vanguard, Fidelity Top Morningstar’s List of Robo-Advisers Morningstar named the two firms among their top digital investment advisers along with Schwab, Betterment and Wealthfront.
Compliance March 6th, 2023 Gensler Says SEC Agnostic On Green Investing, Seeks Improved Disclosure The SEC chair told a room of institutional investors that the regulator is “merit neutral” on how investors use climate-related...
Compliance February 17th, 2023 Senator Pushes For Crypto Option in 401(k) Plans Republican Senator Tommy Tuberville reintroduced a bill pushing back on DOL guidance that limits 401(k) providers offering crypto in plans.
Compliance February 15th, 2023 SEC Wants Enhanced Protections on Crypto, Other Adviser-Managed Investments The proposed changes would amend a custodial rule requiring cryptocurrency exchanges to be run by qualified custodians.