Custody

The custody rule requires advisers to hire only auditors who are both PCAOB registered and subject to board inspection. But the PCAOB hasn’t yet adopted ...

This letter extends that no-action relief until the date that a PCAOB-adopted permanent program begins

A guide to help you comply with the custody rule

The outcome of each case will speak to the Commission’s interpretation of how serious such offenses are and what punishment fits these violations

Former SEC official and now Proskauer Partner Robert Plaze permits RCW to share his guide to the Advisers' Act custody rule.

A New York investment adviser didn’t hire a public accountant to audit its subsidiary’s private fund and now its bank account is $250,000 lighter, the ...

In July 2016, GIG’s Chief Compliance Officer identified the omission of parties from the Application and the resulting non-compliance with the Co-Invest Order and informed ...

ED Capital also failed to comply with the requirement that every investment adviser registered with the Commission adopt and implement written policies and procedures reasonably ...

This is a copy of an adviser's OCIE document request letter from a 2018 exam that focused on custody.

Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset securities. In ...