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Custody (214)
Your search for Custody returned 214 results.
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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...
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...
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...
9/11/2018 | 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.   ...
6/14/2018 | Content area: Investment Adviser
Reports have persisted for months that the SEC would follow up its 2017 custody guidance to address the issue of “inadvertent custody” granted to advi...
6/11/2018 | Content area: Investment Adviser
The Division of Investment Management staff has updated the “Staff Responses to Questions About the Custody Rule” to provide additional guidance regar...
5/03/2018 | Content area: Investment Adviser
While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing t...
4/05/2018 | Content area: Investment Adviser
These proceedings arise out of Clayborne’s improper registration with the Commission as an investment adviser, as well as its violation of a Commissio...
3/29/2018 | Content area: Investment Adviser
As last week’s story ran on how Fidelity handles custody following the SEC’s 2017 guidance, the custodian was moving to announce a major change (IA Wa...
3/23/2018 | Content area: Investment Adviser
Three years ago, we reported how some OCIE examiners were issuing deficiencies because they interpreted the way Fidelity’s contract was written gave a...
3/15/2018 | Content area: Investment Adviser
The client agreement between Schwab and an investor no longer includes language giving the authority to make first-party money wire transfers. Count t...
3/12/2018 | Content area: Investment Adviser
Schwab shares guidance to help advisers navigate new SEC releases on the complex custody rule.
3/08/2018 | Content area: Investment Adviser
When the SEC changed the face of its custody rule last year, advisers and custodians were forced to act. Among the revisions made by Pershing Adviser ...


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