SEC plans scrutiny of crypto dealer-brokers, transfer agents, per 2024 exam guide By Cointelegraph
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The United States Securities and Exchange Commission released its 2024 examination priorities report on Oct. 16. The agency’s Division of Examinations has been publishing similar reports for over a decade to let its registrants know the emerging risks it will be focusing on. Crypto dealer-brokers, among others, have been given notice.
The SEC’s examinations division expanded its capacity and set up teams within its various programs to address crypto, fintech, AI and cybersecurity in 2023, the report said. It added that the SEC was continuing to observe broker-dealers and advisers working in crypto.
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The United States Securities and Exchange Commission released its 2024 examination priorities report on Oct. 16. The agency’s Division of Examinations has been publishing similar reports for over a decade to let its registrants know the emerging risks it will be focusing on. Crypto dealer-brokers, among others, have been given notice.
The SEC’s examinations division expanded its capacity and set up teams within its various programs to address crypto, fintech, AI and cybersecurity in 2023, the report said. It added that the SEC was continuing to observe broker-dealers and advisers working in crypto.
Continue Reading on Cointelegraph
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