Custody Rule
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OPINION: SEC3 year-end takeaways
Janaya Moscony, president of SEC3 and former SEC regulator, offers top tips and best practice learned in 2025 to navigate a frictionless 2026.
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Improving accounting controls beyond your audit
Practical advice for compliance teams when completing essential reviews in adherence with the SEC’s Custody Rule.
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SEC unveils new private fund reforms – scope and best compliance practice
Reforms bring several significant requirements applicable to private fund managers, including non-US based advisers and exempt reporting advisers.
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SEC charges five investment advisers for custody rule violations
The SEC charges five investment adviser firms for failing to meet requirements related to the safekeeping of client assets.