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What RIAs and broker-dealers should consider as reliance on third-party technology platforms expands across operations and client delivery.
Key considerations for RIAs and broker-dealers as regulatory focus on crypto asset custody continues into 2026.
As a reminder, amended rule 203A-2(e) will impose certain reporting, recordkeeping, and compliance requirements on investment advisers relying on the exemption.
Diversity in asset allocation is recognized as a key component of successful investment portfolio management. Kramer Levin Naftalis & Frankel LLP - Darina F. Delappe
Regulatory Notice 22-10 (“Notice”), released on March 17, 2022, restates one of its usually unnoticed principles. Senior management is ultimately accountable.
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