Firms permitting the creation and operation of custodial accounts related to Uniform Transfers to Minors Act (UTMA) or Uniform Gifts to Minors Act (UGMA) transactions must take special notice of Financial Industry Regulatory...more
2/13/2020
/ Beneficiaries ,
Citigroup ,
Compliance Management Systems ,
Covered Transactions ,
Custodians ,
Failure to Comply ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Management ,
JPMorgan Chase ,
Know Your Customers ,
Merrill Lynch ,
Minors ,
Morgan Stanley ,
Negligent Supervision ,
Regulatory Standards ,
Transfer of Assets ,
Trusts ,
UGMA ,
UTMA