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ARTICLE · 21 APRIL 2021

SEC Division Of Examinations Continues To Focus On Digital-Asset Securities

Winston Taylor
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The U.S. Securities and Exchange Commission (SEC) Division of Examinations (Division) recently released a Risk Alert highlighting its continued focus on digital assets that are securities (Digital Asset Securities).

United StatesTechnology
Basil V. Godellas
Basil V. Godellas
Beth Kramer
Beth Kramer
Michael Wu
Michael Wu
Jonathan Ammons
Jonathan Ammons
Cole Beaubouef
Cole Beaubouef
Jay Gould
Jay Gould

The U.S. Securities and Exchange Commission (SEC) Division of Examinations (Division1) recently released a Risk Alert2 highlighting its continued focus on digital assets3 that are securities (Digital Asset Securities). The Division emphasized that the offer, sale, and trading of Digital Asset Securities present unique risks to investors and encouraged firms to consider the distinct features of distributed-ledger technology when designing their regulatory-compliance programs. The Risk Alert provides observations made by Division staff during recent examinations of industry participants that may assist firms in developing their compliance practices and policies. The Risk Alert also provides transparency about areas of focus for the Division's future examinations.

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