Custody

A peer shares the firm's custody checklist, which is in an Excel file format. This tool can be used to quiz dual registrants and RIAs ...

Advisory firms are supposed to - under the SEC's revised custody rule - hire only accountants registered with and inspected by the Public Company Accounting ...

When the SEC revised its custody rule for advisers, it promised to push a similar rule for broker-dealers. Last week it put out a proposal ...

Click here to see an example of a retainer agreement between an accounting firm and an RIA. Certain advisers need accountants to verify assets under ...

This is the Form ADV, Part 2 from 2011 for the dually registered firm Gilder Gagnon Howe & Company in New York. It discusses selling ...

This brochure supplement displays a team approach.

This is the Form ADV, Part 2b or brochure supplement for Merriman. It demonstrates how flashy a supplement can be.

In its first new custody rule frequently asked question in months, the SEC's Division of Investment Management states it wouldn't recommend enforcement action against any ...

IAWatch.com includes several examples of new audit reports required by the SEC's revised custody rule. Depending upon a firm's level of custody, they would have ...