Custody

It seems hard to fathom that four years after Madoff and three years after the SEC revised its custody rule in response to the fraudster's ...

OCIE's National Exam Program staff observations regarding ways in which advisers fail to comply with the Advisers Act custody rule

Comb through the SEC's revised custody rule and you'll find many references that a private fund adviser can satisfy the requirement for a surprise exam ...

The SEC's revised custody rule left some advisers to 529 college savings plans concerned they would have to undergo a surprise annual audit by a ...

    Investment Company Act of 1940 Investment Company Institute Your letter dated August 31, 2012 requests our assurance that we would not recommend enforcement ...

For only the second time this year, the SEC has updated its frequently-asked-questions web page related to the custody rule (IA Watch, April 11, 2011). ...

The drive to go green has many firms searching for ways to forgo paper in favor of e-statements. Take the custodian that sends your clients ...

This is the 2011 Form ADV, Part 2a brochure for iCapital, a Boston-based RIA that largely serves qualified retirement plans, pension and profit sharing plans.

The use of sub-custodians isn't new but with news emerging almost daily about financial shocks in Europe, it's wise to ask some tough questions.You may ...

A peer shares the firm's custody checklist, which is in an Excel file format. This tool can be used to quiz dual registrants and RIAs ...