Risk Mitigation in Incorporating Emerging Tech Trends into Client Portfolios

Just as with many other sectors of the economy, the securities industry has experienced a fast-coming barrage of changes to the business of investing, most of all in emerging technologies.
Investment Advisers may have ignored the changes in technology several years ago, but those who provide investment advisory services can no longer avoid the fact that clients’ portfolio needs have evolved, and they may fail to act in the best interest of their investors should they overlook it. However, there are some important factors to consider when incorporating new types of assets into clients’ portfolios and steps to take to mitigate risks.… Read More

Another Technology Company Settles SEC Charges Over ICO Violations

Blockchain of Things (“BCOT”), a technology company, has agreed to settle charges with the Securities and Exchange Commission (“SEC”) for conducting an initial coin offering (ICO) without registering it as a securities offering or qualifying for any registration exemptions.  The settlement requires BCOT to agree to a cease and desist order, pay a $250,000 civil fine, return funds to any investors who file a request, and register the tokens as securities.

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