Custody

    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 ...

      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Clear Credit LLC December 26, 2013 In a letter to ...

Add a new case to the list of CCOs finding trouble because of failing to comply with the SEC's custody rule (IA Watch, Nov. 4, ...

Our series answering your custody questions continues (IA Watch, Nov. 18, 2013):Q. Could an adviser be deemed to have custody simply because it has the ...

The SEC contends this adviser violated the custody rule because it took no action to determine whether the independent public accountants it retained to conduct ...

This adviser was charged with a slew of Advisers Act violations, including of the custody rule, valuation and the principal trading rule.

They keep coming: custody questions. Here are two new ones, along with answers from experts we've queried (IA Watch, June 24, 2013):Q: A trust account ...

    Investment Company Act of 1940 – Section 206(4) and Rule 206(4)-2 Robert Van Grover, Esq., Seward & Kissel LLP On two prior occasions, ...

Another week has brought another series of SEC enforcement cases that broadcast the message that the agency will target firms and CCOs that run deficient ...

This adviser settled with the SEC over custody violations that included maintaining Letters of Authorization (LOA) kept blank for hundreds of accounts.