Home Custody


A businessman covers his eyes and extends his arm in a futile effort to prevent the inevitable a series of heavy walls from falling on him.
ECM failed to engage an independent public accountant to verify by actual examination at least once during each calendar year the REOC Funds’ funds and ...
Bankers, insurers, real estate firms, syndicated loan companies unite with private fund advocates to make closing arguments
Policeman stops woman driver to give her a traffic ticket for speeding. He takes her driver's license.
Because Woodbury failed to obtain verification by actual examination of the client funds and securities in the accounts by an independent public accountant, Woodbury violated ...
Illegal or legal. Cubes form words Illegal or Legal. Conceptual image of a wide application from business to narcotic drugs
The firm failed to obtain verification of client funds and securities by annual actual examinations by an independent public accountant for the calendar years 2017 ...
oops word on key showing fail failure mistake or sorry concept
Because Forepont did not provide advance disclosure to the limited partners of the Cayman Fund of these material facts concerning the transfers and the associated ...
Bankers, insurance companies, real estate managers walk with private fund advocates to stop 'fundamental changes' to custody system
A band of 26 industry group's send letter to SEC chairman claiming proposal creates a wide range of negative consequences across the U.S. financial markets
The OCC warned the SEC that the rule might sow confusion in the banking industry
Compliance may not be a check-the-box exercise anymore, but you've still got to check the boxes
Businessman leaps through tropical waters in a mad splash after his falling laptop
The adviser failed to distribute required audited financials

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