Tag: Custody Rule

The same criticisms of the proposal linger, but the SEC is continuing to push ahead.

The rule violation announcement is the second the regulator has issued in a ‘targeted’ effort, even as it seeks public...

The regulator also announced a new proposal to increase transparency and disclosures for private fund managers such as private equity...

The House’s budget bill would block the safeguarding and climate risk proposals, whereas the Senate budget would not.

A letter from the industry association outlines what it calls overlap and inconsistencies between them.

Adviser advocacy and interest groups expressed disapproval for the SEC’s proposal, citing discretionary trading concerns and limiting annuity use.

A proposed rule whose comment period ends Monday would have advisers obtain written agreements that segregate client assets to protect...

Experts explained common compliance mistakes involving the custody rule and spoke to the new custody rule proposal.

The rules, adopted and proposed, respectively, by 3-2 margins, were partially informed by recent scandals.

The proposed changes would amend a custodial rule requiring cryptocurrency exchanges to be run by qualified custodians.