Notice
1 Aug 2025
compliance, sec, financial regulation, investment advisers, client funds
🏦SEC Notice on Investment Advisers' Custodial Compliance Rules
This regulatory notice from the Securities and Exchange Commission discusses the information collection requirements for investment advisers regarding the custody of client funds. It emphasizes the importance of transparency, regular audits, and client notifications to ensure proper handling of assets, reinforcing the adviser's obligations under the Investment Advisers Act of 1940.
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