Often, the difference between safety from a regulator and an enforcement action is knowing where the regulatory lines are drawn and what conduct constitutes an act that crosses those lines. Among the murkiest areas of regulatory concern is Custody.  It’s … Read More

In October, The U.S. Securities and Exchange Commission (“SEC”) issued their 2024 exam priorities list,[1] which is only the second time in 10 years that they have released the list prior to year-end. Prior release dates have usually been in … Read More