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Custody (241)
Your search for Custody returned 241 results.
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7/11/2019 | Content area: Broker-Dealer
Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset se...
6/07/2019 | Content area: Investment Adviser
One of the biggest obstacles preventing investment advisers from investing in FinTech and digital currencies is a familiar nemesis: the custody rule. ...
5/09/2019 | Content area: Investment Adviser
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest sp...
5/06/2019 | Content area: Private Fund
Corinthian misused the assets in a private equity fund, Corinthian Equity Fund II, LP (“CEF 2”) that it advised to the advantage of Corinthian and thr...
4/25/2019 | Content area: Broker-Dealer
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording...
3/14/2019 | Content area: Investment Adviser
A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment c...
3/14/2019 | Content area: Investment Adviser
Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Manag...
3/12/2019 | Content area: Investment Adviser
We welcome input and engagement from all interested parties regarding the potential considerations posed by digital assets with respect to the Custody...
3/07/2019 | Content area: Investment Adviser
Individual B never agreed to serve as Ascension’s CCO and was unaware that Ascension and Gooder had named him as the firm’s CCO until after he was con...
2/07/2019 | Content area: Broker-Dealer
Nichter knowingly devised, and intended to devise, a scheme or artifice to defraud, and to obtain money, funds, and other property by means of materia...
1/10/2019 | Content area: Investment Adviser | Private Fund
In what may be the last SEC no-action letter released for some time due to the government shutdown, the Division of Investment Management last month g...
12/20/2018 | Content area: Investment Adviser | Private Fund
Staff Letter No-Action relief under Section 206(4) and Rule 206(4)-2 under the Investment Advisers Act of 1940 Dec. 20, 2018 Investment Advisers Ac...
10/25/2018 | Content area: Investment Adviser
Consider custody the gift that keeps on giving. The latest twist of the screw comes from Pennsylvania, where state securities officials last month rel...
9/27/2018 | Content area: Private Fund
Hudson Housing Capital ($3.2B in AUM) in New York had a problem meeting deadlines, and the SEC took notice.   The adviser failed to deliver audited fi...
9/25/2018 | Content area: Private Fund
The custody rule is designed to protect advisory clients from the misuse or misappropriation of their funds and securities. It requires that registere...
9/11/2018 | Content area: Investment Adviser
A peers shares the firm's recent exam document request letter.
8/09/2018 | Content area: Investment Adviser
Investment adviser execs are bullish about their business prospects and foresee substantial increases in headcount and AUM over the next one year and ...
8/02/2018 | Content area: Investment Adviser
If you’re like most advisers who answered IA Watch’s recent industry survey, you’ve not yet taken up the topic of cryptocurrencies with your staff.   ...
7/19/2018 | Content area: Private Fund
New Silk Route Advisors ($1.1B in AUM) in New York runs two Cayman Islands-based private equity funds that invest in India but its regulator resides i...
7/17/2018 | Content area: Private Fund
The NSR Funds were subject to an annual audit, and NSR attempted to rely on the “audit provision” under Rule 206(4)-2(b)(4). NSR was not subject to an...


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