March 19, 2020
The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…
custody Tag
April 11, 2019
You timely filed your Form ADV within 90 days of fiscal year end, but, did you properly answer all the…
March 15, 2019
The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance…
November 1, 2018
The Pennsylvania Department of Banking and Securities (PDOBS) has indicated in recent guidance two concerns related to investment advisers using…
June 15, 2018
The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs….
November 14, 2017
The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has…
April 10, 2017
Implementing 2017 SEC Custody Guidance: Analysis, Practical Implications, Next Steps
March 16, 2017
On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.