Episode 5: Business Divorce, Delaware Style
The U.S. Securities and Exchange Commission (“SEC”) issued a statement in response to the Wyoming Division of Banking’s No-Action Letter on Custody of Digital Assets and Qualified Custodian Status....more
A. Adoption in 1962 - The SEC has regulated custodial practices of investment advisers since 1962, when it first adopted rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act of 1940 (“Advisers Act”) under...more
We are continuing our successful series of basic seminars and this time we are devoting ourselves to the topic of ESG: The pressure from politics on financial market participants is increasing. Both fund providers and their...more
Wir setzen unsere erfolgreiche Grundlagen-Seminarreihe fort und widmen uns dieses Mal dem Thema ESG: Der Druck aus der Politik auf die Finanzmarktteilnehmer steigt. Sowohl Fondsanbieter als auch deren Dienstleister müssen...more
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