Another custody sweep exam letter from a 2020 OCIE exam of an advisory firm
Check out the degree of OCIE's interest in custody
A peer shares the firm's custody checklist
"Cyber threat actors are becoming more aggressive and sophisticated"
A peer shares a sample trade allocation policy
A peer shares a copy of a subscription agreement that includes terms relevant to clients in various countries
A peer shares the firm's form for reporting outside business activity
A peer shares this document
A peer shares items that should be found within a new client's folder.
Check out this sample of a best execution policy