SEC Cybersecurity Exam Requests

posted in: Privacy & Data Security | 0

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 … Continued

SEC Issues Guidance Re: Inadvertent Custody

posted in: Custody | 0

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