Custody

The Form ADV FAQ addresses temporary teleworking

OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs

Another custody sweep exam letter from a 2020 OCIE exam of an advisory firm

Check out the degree of OCIE's interest in custody

A peer shares the firm's custody checklist

The custody rule requires advisers to hire only auditors who are both PCAOB registered and subject to board inspection. But the PCAOB hasn’t yet adopted ...

This letter extends that no-action relief until the date that a PCAOB-adopted permanent program begins

A guide to help you comply with the custody rule

The outcome of each case will speak to the Commission’s interpretation of how serious such offenses are and what punishment fits these violations

Former SEC official and now Proskauer Partner Robert Plaze permits RCW to share his guide to the Advisers' Act custody rule.