Episode 45: Digital Asset Manager SEC Settlement Artwork

Tokens of Wisdom

Do you love investing? Ever thought about turning that passion into a business? Listen up to learn to navigate the legal loopholes in forming, launching, and running a private investment fund, including considerations unique to digital asset/crypto funds. Dave Rothschild is a partner at Cole-Frieman & Mallon, one of the country's premier boutique investment management law firms with deep experience in traditional assets, as well as esoteric asset classes like digital assets. For questions or comments, email tow@colefrieman.com. Visit our website: https://colefrieman.com

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Tokens of Wisdom

Episode 45: Digital Asset Manager SEC Settlement

September 13, 2024 • Dave Rothschild

The digital asset fund manager community is up in arms about the SEC’s latest shenanigans against Galois Capital, and I’m here to tell you; so am I!

The SEC alleged three separate violations, and gave us zero helpful detail/analysis/guidance that might let other asset managers avoid similar acitons.

Key Points From This Episode:

What violations did the SEC allege Galois Capital committed?
What does a settlement mean?
Why so much secrecy?
Shout out to Laura Shin.
A few rays of sunshine.

Disclaimer:

This show is for informational purposes only. Nothing presented here constitutes legal advice. Tokens of Wisdom is produced by Dave Rothschild, partner at Cole-Frieman & Mallon LLP headquartered in San Francisco, California. For more information, visit https://colefrieman.com/

Links Mentioned in Today’s Episode:

Galois Settlement - https://www.sec.gov/files/litigation/admin/2024/ia-6670.pdf

Unchained podcast - https://open.spotify.com/episode/0WLRqpxdDNHcZgygf3MwJv

Dave Rothschild - https://www.linkedin.com/in/davidcrothschild/

Cole-Frieman & Mallon LLP - https://colefrieman.com/

Music by Joe Ginsberg - https://www.instagram.com/thejoeginsberg

For any questions or comments, email: tow@colefrieman.com