Registered Investment Advisers–SEC Custody Exam Requirements

Registered Investment Advisers who have custody of their clients’ funds or securities must safeguard those funds as required by the SEC’s “custody rule.”  The custody rule is designed to provide additional safeguards for investors against the possibility of theft or…

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Commodity Trading Advisor Compliance Checklist

A Commodity Trading Advisor is required to meet all compliance regulations on an annual basis along with quarterly reporting. Below is an example of a compliance checklist that should be reviewed and documented on an annual basis: _____    Check on…

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