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SEC Wants To Expand Custody Rule Scope - Vimarsana News

SEC Wants To Expand Custody Rule Scope

Published: March 30, 2023

Securities and Exchange Commission SEC announced proposed overhaul of custody framework for SEC-registered investment advisers. The proposed reforms would amend and redesignate Rule 206(4)-2 under Investment Advisers Act of 1940, as amended, as Rule 223-1 under Advisers Act.

Source: natlawreview.com
Related Topics:
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SEC Proposes Custody Rule Overhaul With Broad Implications for Investment Advisers, Custodians, and Independent Public Accounting Firms | K&L Gates LLP - Vimarsana News

SEC Proposes Custody Rule Overhaul With Broad Implications for Investment Advisers, Custodians, and Independent Public Accounting Firms | K&L Gates LLP

Published: March 30, 2023

On 15 February 2023, the Securities and Exchange Commission (SEC) announced a proposed overhaul of the custody framework for SEC-registered investment advisers (investment advisers)....

Source: jdsupra.com
Related Topics:
United StatesDiscretionary AuthoritySignature BankKl GatesDiscretionary Authority Of ClientPublic Company Accounting Oversight BoardExchange CommissionSilicon Valley BankDiscretionary Authority To Trade As Conferring CustodyBank SecrecyCustody RuleInvestment Advisers ActAdvisers ActSafeguarding RuleIntroduces ComplexityQualified CustodianInvestment AdvisersEnter Into Written Agreements WithObtain Written Reasonable AssurancesPrivately Offered SecuritiesPhysical AssetsAudit Provision Beyond PooledSurprise Examination RequirementCustody SolelyRegistered Investment Advisers