Compliance Solutions for Investment Advisers

Monthly Archives: March 2017

SEC Cybersecurity Exam Requests

Cybersecurity seems to be all the rage with both SEC and state regulators. However, advisers have been flying blind as to what the regulators may actually request during a cybersecurity exam. Thanks to our contacts in the industry, we were able to obtain a list of cybersecurity-related information requested by the SEC during a recent exam of

SEC Issues Guidance Re: Inadvertent Custody

Maybe there is something wrong with a rule that needs continual guidance? See the latest SEC Investment Management Guidance:  Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority

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