Custody

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

TSP Capital also failed to comply with the requirement that every investment adviser registered with the Commission adopt and implement written P&Ps

RCW exclusive analysis of Form ADV data

No enforcement if financials can't be “distributed in time under certain unforeseeable circumstances”