Custody

Case another example in importance of delegating compliance authority

"The SEC is seeking comment on crypto custody arrangements by broker-dealers and relating to investment advisers. Custody protections are key to preventing theft of investor assets, ...

A peer shares an LOA that has been successfully used to confirm the registration of accounts at third parties prior to sending wire transfers. This ...

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