IAA 1940 Rule 206(4)-2
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SEC fines two RIAS $150,000 over faulty client agreements
Penalties imposed over potentially misleading information on non-waivable legal rights.
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Brite Advisors USA breached core safeguards in cross-border asset management
SEC’s case highlights how undisclosed conflicts and custody rule violations put client assets at risk.
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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.
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SEC amends safeguarding rule to enhance customer asset protection
Changes address concerns about client asset custody problems in the crypto sector.