Custody

A peer shares the RIA's compliance manual, complete with numerous P&Ps

The Investment Adviser Association passes on this chart to help you to better understand new custody guidance released by the SEC in 2017

Schwab has given us permission to share with you its 2017 decision tree to help advisers know the SEC's revised custody rules for money transfers

"Rather than raising fundamental questions about custody under the Advisers Act in the crypto context, the SEC should assist advisers in navigating custody in the ...

Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule

As rule 17f-2 assumes actual physical possession of underlying securities (i.e., the certificates)[6], you propose that the Funds cease providing the Loan Documents to their ...

Commission is encouraging innovation around the application of the customer protection rule to digital assets

IM didn’t make any promises. It merely invites you via e-mail (imocc@sec.gov; subject line: Custody Rule and Digital Assets) to “let the Staff know your ...

If you would like to let the Staff know your views regarding these issues, we are providing an email box as a convenient method for ...

"We are expressing a Staff position that an investment adviser relying on the exception for limited partnerships (or limited liability companies or other types of ...