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Regulation of Custodial Practices Under the Investment Advisers Act of 1940 Rule 206(4)-2

USA - September 17 2020 He SEC has regulated custodial practices of investment advisers since 1962, when it first adopted rule 206(4)-2 (the "Custody Rule") under the…

Regulation of Investement Advisers by the U.S. Securities and Exchange Commission

USA - June 25 2018 Money managers, investment consultants, and financial planners are regulated in the United States as "investment advisers" under the U.S. Investment…

SEC Staff Announces 2019 OCIE Examination Priorities

USA - January 10 2019 On December 20, 2018, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the SEC announced its 2019 examination priorities…

Anthony M Drenzek, Robert G Leonard, Michael F Mavrides.

Five Things to Think About Before a Surprise SEC Exam

USA - December 21 2017 If a team from the SEC arrives at your office and says, “We are conducting an on-site examination and would like to talk to the CCO right now,” are…

Alexandra V. Bargoot, Joshua M Miller, Christopher M Wells.

SEC Issues New Sources of Custody Rule Guidance

USA - March 28 2017 On February 21, 2017, the SEC's Division of Investment Management provided additional guidance with respect to Rule 206(4)-2 under the Investment…

Anthony M Drenzek, Michael F Mavrides.