08 Jan Cryptos, Blockchain Among SEC 2020 Priorities
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Call it, perhaps, a New Year’s Resolution list — for regulators.
In documents released Tuesday (Jan. 8), the Securities and Exchange Commission’s (SEC’s) Office of Compliance and Examinations (OCIE) offered up a list of its priorities for the year that has just dawned. The list offers up a bit of a roadmap, perhaps, into where we might see change on a number of fronts.
Among them: cryptocurrencies and the financial (alternative) data that is used in the investment realm.
“The digital assets market has grown rapidly and presents various risks, including for retail investors who may not adequately understand the differences between these assets and more traditional products,” according to the office.
So, the focus will be on retail investors, where the OICE will look at, among other things, investment suitability and the effectiveness of compliance programs and controls, according to documentations. In addition, there will be…
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