March 9, 2021

The SEC’s Roadmap for Examinations Related to Digital Asset Securities

Client Alert
Sydne K. Collier | Alex Dimock | Jessica B. Magee

In its latest Risk Alert, the Securities and Exchange Commission (SEC), Division of Examination (the Division, formerly the Office of Compliance Inspections and Examinations), provided investment advisers, broker-dealers, and other registrants (collectively, Registrants) involved in transacting digital asset securities guidance about what to expect in future examinations. Understanding the Risk Alert is crucial for Registrants, who must, among other things, assess and possibly improve their compliance policies relating to digital asset securities in anticipation of increasing SEC scrutiny.

READ: The SEC’s Roadmap for Examinations Related to Digital Asset Securities

Related Insights