Custody

Before this week is out, the SEC's revised custody rule takes effect (IA Watch, Feb. 15, 2010), even as some suggest the agency should delay ...

With four weeks to go before the SEC's new revised custody rule takes effect - and still many unanswered questions floating about - you may ...

Cases like Galleon's fit "the model for the future" because they feature multi-agency cooperation and a focus on teams of co-conspirators rather than trying to ...

The questions keep coming about the SEC's new revisions to the custody rule, which goes into effect March 12 (IA Watch, Jan. 18, 2010). Here ...

The SEC's new custody rule revision calls on advisory firms to have a "reasonable belief" that a custodian sends account statements directly to clients. While ...

Make your first stop after the SEC's release of its custody rule be your client contract. Many contracts give the adviser a broad power-of-attorney, which ...

Sometime in March, the SEC's revised custody rule will likely take effect, ticking the clock toward aggressive deadlines for those firms that will need to ...

The final rule revising the Advisers Act to provide guidance to accountants who will conduct surprise exams and internal control reports in connection with the ...

The final rule revising the Advisers Act custody rule, released January 11, 2010 and taking effect March 12, 2010.

Most investment advisory firms will not need to secure a surprise annual exam to verify client assets after the Commission voted unanimously last week to ...