Custody Requirements
Previously on our blog we discussed situations where advisers are [...]
18
06, 2021
7
06, 2021
Assessing Custody for Registered Investment Advisers
One of the most critical rules under the Investment Advisers [...]
21
05, 2021
Form ADV-E
Investment advisers that have custody of client funds or securities [...]
10
05, 2021
Requirements for State Registered Advisers
Also, State registered advisers should review and verify compliance with [...]
31
03, 2021
Books and Records Requirements for Federal Covered Advisers
As a registered adviser, you must make and keep true, [...]
20
08, 2019
Custody of Cryptocurrency: Considerations for Broker-Dealers
It is evident that the U.S. Securities and Exchange Commission [...]
11
02, 2019
Custody for Private Fund Advisers
If you are a private fund adviser (i.e. hedge fund [...]
4
01, 2018
What is Custody?
Custody remains a focus area for SEC and state regulators [...]