The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…
custody Tag
You timely filed your Form ADV within 90 days of fiscal year end, but, did you properly answer all the…
The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance…
The Pennsylvania Department of Banking and Securities (PDOBS) has indicated in recent guidance two concerns related to investment advisers using…
The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs….
The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has…
Implementing 2017 SEC Custody Guidance: Analysis, Practical Implications, Next Steps
On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.