Guide to Self-Regulating Digital Asset Markets

This grid uses the regulatory principles set out by the Association for Digital Asset Markets (ADAM) to identify the most valuable regulatory resources from around the globe. For an in-depth analysis of these regulations and their application to the future of digital assets, see our article in The Daily Hodl

GCR

Bermuda – https://www.bma.bm/viewPDF/documents/2019-04-23-14-52-53-Digital-Asset-Business-Code-of-Practice-2018.pdf#page=4

Malta – https://www.mfsa.mt/wp-content/uploads/2019/12/VFA-Rulebook_Chapter-3_effective-as-at-1-February-2020.pdf#page=28

ISO – https://www.iso.org/iso-31000-risk-management.html

Conflicts of Interest

Malta – https://www.mfsa.mt/wp-content/uploads/2019/12/VFA-Rulebook_Chapter-3_effective-as-at-1-February-2020.pdf#page=56

FINRA – https://www.finra.org/sites/default/files/Industry/p359971.pdf

Transparency and Fairness

Bermuda – http://www.bermudalaws.bm/laws/Annual%20Laws/2018/Statutory%20Instruments/Digital%20Asset%20Business%20(Client%20Disclosure)%20Rules%202018.pdf

NY – https://govt.westlaw.com/nycrr/Document/I85908c9b253711e598dbff5462aa3db3?viewType=FullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Default)

Paxos – https://www.paxos.com/itbit-terms-and-conditions/

Market Integrity

CBOE – https://cdn.cboe.com/resources/regulation/rule_book/cfe-rule-book.pdf#page=240

Paxos – https://www.paxos.com/market-manipulation-protection/

Ice – https://www.theice.com/publicdocs/rulebooks/futures_us/–Appendix_lll_Self-Trade_Prevention_Policy.pdf

Asset Custody

Bermuda – https://www.bma.bm/viewPDF/documents/2019-05-20-16-07-35-Digital-Asset-Custody-Code-of-Practice-2018.pdf

Wyoming – https://drive.google.com/file/d/1U7gIrVwpWElz3C10bC92-33zAKQnS-8E/view

FINRA – https://www.finra.org/sites/default/files/SEA.Rule_.15c3-3.pdf

Information Security

NY – https://govt.westlaw.com/nycrr/Browse/Home/NewYork/NewYorkCodesRulesandRegulations?guid=I5be30d2007f811e79d43a037eefd0011&originationContext=documenttoc&transitionType=Default&contextData=(sc.Default)

Bermuda – https://www.bma.bm/viewPDF/documents/2019-05-20-16-07-35-Digital-Asset-Custody-Code-of-Practice-2018.pdf

NIST – https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5-draft.pdf#%5B%7B%22num%22%3A66528%2C%22gen%22%3A0%7D%2C%7B%22name%22%3A%22XYZ%22%7D%2C88%2C720%2C0%5D

Business Continuity

NY – https://govt.westlaw.com/nycrr/Document/I85908c95253711e598dbff5462aa3db3?viewType=FullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Default)&bhcp=1&ignorebhwarn=IgnoreWarns

FINRA – https://www.finra.org/compliance-tools/small-firm-business-continuity-plan-template

NIST – https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-184.pdf

AML & CTF

Bermuda 1- https://www.bma.bm/viewPDF/documents/2018-12-29-05-24-01-Digital-Asset-Business-Prudential-Standards-Annual-Return-Rules-2018.pdf#page=5

Bermuda 2- https://www.bma.bm/viewPDF/documents/2019-09-06-16-17-11-Annex-VIII–Sector-Specific-Guidance-Notes-for-Digital-Assets.pdf

BSA- https://www.fincen.gov/sites/default/files/shared/MSB_Exam_Manual.pdf#page=25

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Guide to Self-Regulating Digital Asset Markets

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