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SEC to Hold Second Fintech Forum

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The Securities and Exchange Commission said Friday that it plans to host a public forum at its Washington headquarters on May 31 focusing on distributed ledger technology (DLT) and digital assets.

The forum, organized by the agency’s Strategic Hub for Innovation and Financial Technology (FinHub), is the second such forum to be hosted by the agency, and is designed “to foster greater communication and understanding around issues involving DLT and digital assets.”

Panelists from industry and academia will tackle such topics as initial coin offerings, digital asset platforms, DLT innovations, and how these technologies affect investors and the markets, the SEC said.

The SEC’s Division of Investment Management said Wednesday that it’s soliciting input on custody of digital assets by registered investment advisors.

The IM division wants feedback on the regulatory status of investment advisor and custodial trading practices that are not processed or settled on a delivery versus payment, or non-DVP, basis.

IM staff said the unit also welcomes engagement from advisors, other market participants and the public on these issues, as well as on questions regarding the application of the Custody Rule to digital assets, and whether revisions to the Custody Rule could be helpful in addressing the issues cited in the notice.


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