Regulations

The latest regulatory changes, updates, and decisions impacting the alternative investment sector.

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Digital Assets: Blockchain Securities May See New Dawn in 2020

Regulatory progress may lay the base for a revival of blockchain-based securities such as tokens and ICOs. According to Aaron Kaplan, the SEC’s strategy to crack down on digital assets and apply the rigor of traditional securities’ regulation to blockchain securities is a welcome move. He likened it to the days of old when the criminal excesses of “bucket shops” yielded to regulation through securities law.

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Digital Assets: Blockchain Securities May See New Dawn in 2020
February 14, 2020

Regulatory progress may lay the base for a revival of blockchain-based securities such as tokens and ICOs. According to Aaron Kaplan, the SEC’s strategy to crack down on digital assets…

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Digital Assets: German Banks Line Up for Licenses to Offer Crypto-Custody Services
February 13, 2020

About 40 banks have applied to Germany’s Federal Financial Supervisory Authority, or BaFin, for licenses to operate custody services for digital assets. (Coingeek) Bafin last month released new guidelines that…

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FinTech: Australian Legislators Pass Law to Enhance ASIC’s Fintech Regulatory Sandbox
February 12, 2020

Australian Legislators Pass Law to Enhance ASIC’s Fintech Regulatory Sandbox. The amendments passed on Monday extend the scope and timeframe fintechs can spend on the existing ‘sandbox.’ The ‘Treasury Laws…

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Digital Assets: In Reforms Push, China Mulling Rules for New Digital Banks, Including by Foreigners
January 17, 2020

China is working on guidelines for the establishment of online-only banks. Chinese regulators are pushing for the establishment of new, 100% digital banks to reduce risk in the country’s financial…

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Hedge Fund Citadel Distances Itself from Ex-Employee over Illegal Trading
January 13, 2020

Hedge fund Citadel issued a statement last week that distanced itself from a former trader who profited from non-public information. Michael Mindlin worked for Citadel between June 2016 and June…

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ESG: The SEC’s Scrutiny of ESG Investing Could Be a Blessing, Say Advisers
January 7, 2020

According to the Wall Street Journal, regulators are questioning the methodologies and criteria for the selection of companies by funds that tout ESG portfolios. ESG is an acronym for environmental-social-and…

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Alternative Investments: SEC to Redefine The Term “Accredited Investor”
December 20, 2019

The SEC is proposing to amend the rules that define the term “accredited investor,” a class of investors allowed to invest in private market investments such as hedge funds and…

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Digital Assets: Jay Clayton – SEC Hastens Slowly on Digital Assets
December 12, 2019

Jay Clayton said in testimony to the Senate that the SEC was taking a measured approach to regulation of digital assets. Jay Clayton was very positive on the prospects of…

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Digital Assets: The SEC Thaws; Approves Bitcoin Futures Fund
December 10, 2019

In what Commissioner Hester Peircetook hailed as “a bit of progress,” the SEC cleared the decks for the launch of a bitcoin futures fund. The SEC last week approved the…

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Sen. Ron Wyden Demands Study on Opportunity Zone Management
November 6, 2019

Opportunity Zones have become topics of interest among institutional investors. The passage of the 2017 Tax Cuts and Jobs Act pushed through opportunity zones as potential long-term investments.

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