Paul Stevens Jr.

Paul Stevens Jr.

Dechert LLP

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Safeguarding Client Assets: SEC Proposes Overhaul of Adviser Custody Rule

The U.S. Securities and Exchange Commission, by a vote of four-to-one, proposed a major overhaul of the investment adviser custody rule on February 15, 2023. The proposal would amend and redesignate Rule 206(4)-2 under the...more

3/21/2023  /  Audits , Client Assets , Collateralized Loan Obligations , Custody Rule , Investment Advisers Act of 1940 , Proposed Rules , Recordkeeping Requirements , Securities and Exchange Commission (SEC)

SEC Staff Issues No-Action Relief on the Use of Standing Letters of Instruction and Related Guidance for Investment Advisers

The staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC) released three related matters of guidance on February 21, 2017, which provide additional clarity to...more

4/12/2017  /  Custody Rule , Investment Adviser , No-Action Relief , Securities and Exchange Commission (SEC) , Standing Letters of Authorization (SLOA)
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