Advisers Act Compliance involves adhering to regulations that govern investment advisers. This adherence means meeting specific requirements set forth by the Investment Advisers Act of 1940. For crypto entities operating as investment advisers, this implies following rules on registration, disclosures, and client protection. It ensures that firms offering advice on digital assets operate with transparency and in clients’ best interests.
Context
The application of the Advisers Act to digital asset managers remains a central point of regulatory discussion. Regulators assess whether certain crypto activities or offerings constitute investment advice, triggering compliance obligations. Firms must carefully evaluate their services to determine if they fall under the Act’s purview, navigating evolving interpretations and potential enforcement actions.
The SEC Staff's no-action relief provides a critical, compliant pathway for Registered Investment Advisers to custody client digital assets via state-chartered trusts.
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