SEC details new "Madoff fix" custody rules
Advisor groups relieved: no surprise audits for RIAs with third-party custodians
Bill Winterberg
Thanks for the update and for posting the “custody matrix” for reference. I’m sending my subscribers over here to RIABiz to get these details: <a href="http://fppad.com/2009/12/17/surprise-audit-provision-dropped-from-new-sec-custody-regulations/">Surprise Audit Provision Dropped From New SEC Custody Regulations</a>
Bill @ <a href="http://fppad.com">FPPad.com</a>
wanderson
Anybody have any ideas how this limited partnerships that hold partnership units in venture capital funds (ie. consolditaing partnerships).
Related Moves
Biz Briefs: SEC cracks down anew on RIA reverse churning ~ Envestnet borrows $350 million to buy its own stock ~ Fidelity is creating a crypto waiting list while exec questions crypto ecosystem
Fed up SEC is ready to take on all nonsense at once; stock shocks, Orwell's new name game; Fidelity hosts a line dance
November 18, 2022 at 2:56 AM
RIA in a Box gunning for top-notch staff as it readies for Aquiline-fueled roll-up binge, targeting old-school, mom-and-pop compliance competitors
With Ascensus also in its portfolio, Aquiline is showing a penchant for taking dull, fragmented, unloved wealth-management niche businesses and rolling them up into sexier firms
November 29, 2018 at 11:54 PM
RIA in a Box
Compliance Expert
Top Executive: GJ King
