RIA Compliance

Definition ∞ RIA Compliance refers to the adherence by Registered Investment Advisers to the rules and regulations set forth by securities authorities, such as the SEC or state regulators. This involves fulfilling obligations related to registration, disclosures, record-keeping, and fiduciary duties to clients. Maintaining strong RIA Compliance is essential for legal operation and client trust.
Context ∞ For investment advisers operating in the digital asset space, RIA Compliance presents specific challenges due to the evolving regulatory landscape for cryptocurrencies and tokenized securities. News often reports on firms seeking clarity on how existing rules apply to digital assets, particularly regarding custody, advertising, and suitability. The ongoing effort involves adapting traditional compliance frameworks to the unique characteristics of digital assets while awaiting more specific regulatory guidance.

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→RIA Compliance

→Systemic Risk

→Registered Investment Adviser

SEC Withdraws Proposed Custody Rule Expansion for Digital Assets

The rescission of the expanded safeguarding requirement immediately mitigates systemic operational risk for broker-dealers and RIAs holding non-security crypto assets.

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→Due Diligence

→RIA Compliance

→SEC No-Action

SEC Staff Confirms State Trust Companies Qualified Digital Asset Custodians

The SEC's no-action relief operationalizes institutional digital asset custody by clarifying the "qualified custodian" status for state-chartered trust companies.

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→Qualified Custodian Status

→Custody Solution

→State Trust Company

SEC Staff Clarifies State Trust Companies Qualify as Digital Asset Custodians

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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→Trust Companies

→Institutional Adoption

→Custody Rule

SEC Clarifies State Trust Companies Can Custody Digital Assets for Institutions

RIAs must now update compliance frameworks to leverage state-trust custody, ensuring strict asset segregation and private key controls.

RIA Compliance

SEC Withdraws Proposed Custody Rule Expansion for Digital Assets

SEC Staff Confirms State Trust Companies Qualified Digital Asset Custodians

SEC Staff Clarifies State Trust Companies Qualify as Digital Asset Custodians

SEC Clarifies State Trust Companies Can Custody Digital Assets for Institutions

Incrypthos

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