Custody

If you've hired an accountant to verify a trust's assets to satisfy the SEC's custody rule, you know an audit can be expensive. You may ...

Our continuing series answering your custody questions runs into a scenario concerning real estate (IA Watch, April 7, 2014). One option would be to maintain ...

An Ohio investment adviser is charged with custody and other violations after examiners allegedly found missing funds during an exam.

Our continuing series strives to answer your ongoing custody questions (IA Watch, Dec. 23, 2013). The latest question challenged our experts:The IA transfers cash upon ...

Technology could threaten to render the paper check as relevant as a town crier. You may even be using software to electronically deposit a check ...

It was expected the SEC would reach out to advisers about how to complete Item 9 (custody) of Form ADV, Part 1 after IA Watch ...

More than four years after the SEC released its revised custody rule the questions keep pouring in. Last week, during an IA Watch webinar, the ...

This is timely advice as many of you prepare to update your Form ADV. Don't neglect to answer Item 9.F - even if your firm ...

January 2010 custody final rule

    Investment Company Act of 1940 — Section 17(f)(1) and Section 26(a) The Brink's Company February 11, 2014 RESPONSE OF THE OFFICE OF CHIEF ...