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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
IM didn’t make any promises. It merely invites you via e-mail (imocc@sec.gov; subject line: Custody Rule and Digital Assets) to “let the Staff know your ...
If you would like to let the Staff know your views regarding these issues, we are providing an email box as a convenient method for ...
"We are expressing a Staff position that an investment adviser relying on the exception for limited partnerships (or limited liability companies or other types of ...
Private fund adviser settles custody case - but where did all the money go?
It's has been a chore to lure an accountant in for a surprise exam in this year of the pandemic
SQN Capital relied on the Audited Financials Alternative to attempt to comply with the custody rule during the relevant period but failed to do so
TSP Capital will pay a $60K penalty under settlement agreement

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