Custody

This adviser was charged by the SEC for failing to timely distribute audited financial statements to the investors of the pooled investment vehicles managed by ...

This is the SEC's custody rule

An investment adviser registered under this title shall take such steps to safeguard client assets over which such adviser has custody, including, without limitation, verification ...

Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...

As a service to clients who travel extensively, an advisory firm is weighing offering to receive checks on their behalf and to deposit them into ...

The Investment Company Act of 1940 Section 26 -- Unit Investment Trusts Custody and sale of securities. No principal underwriter for or depositor of a ...

IA Watch has learned that the SEC has contracted with a Tennessee company to ease the process of examiners verifying client assets at investment advisers. ...

Confusion over custody for advisers using special purpose vehicles (SPVs) gained greater clarity in a new release from the SEC's Division of Investment Management. IM ...

The Division receives inquiries, and the Commission’s Office of Compliance Inspections and Examinations has identified issues in examinations, regarding how the Advisers Act custody rule, ...

Douglas Cowgill had a long time to become familiar with the SEC's rules. He's the president and CCO of his own advisory firm, Professional Investment ...