Conduct requirements are regulatory mandates that dictate acceptable operational practices and ethical standards for financial entities, including those operating within the digital asset sector. These rules aim to ensure fair treatment of customers, prevent market manipulation, and maintain overall market integrity. Adherence to conduct requirements is fundamental for firms seeking to operate legally and maintain trust with their client base. These stipulations cover aspects such as transparency, disclosure, and conflict of interest management.
Context
As digital asset markets mature, regulatory bodies are increasingly implementing and refining conduct requirements to align them with traditional financial market standards. The focus is on establishing a level playing field and safeguarding retail and institutional investors from misconduct. Compliance with these evolving requirements poses an ongoing challenge for digital asset firms, necessitating robust internal controls and governance frameworks.
The FSA's FIEA integration fundamentally shifts digital assets to investment products, mandating rigorous securities-level disclosure and conduct standards.
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