RIAs, Family Offices Prep For Surprise Audits

–Kristen Oliveri

Registered investment advisors and family offices that have custody requirements are gearing up for surprise audits. The Securities and Exchange Commission (SEC) recently finalized amendments to the custody requirements that contains a provision that says RIAs and family

You need to be logged in to see this part of the content. Please Login to access.
Add Comment Register

Leave a Reply

Your email address will not be published. Required fields are marked *



You may use these HTML tags and attributes: <a href="" title=""> <abbr title=""> <acronym title=""> <b> <blockquote cite=""> <cite> <code> <del datetime=""> <em> <i> <q cite=""> <strike> <strong>


Hawthorn family office launches in-house research program

The Philadelphia, Pennsylvania-based Hawthorn family office has launched a new ‘think tank’ focusing on researching and creating strategies for its ultra-high net worth clients. ... read more »

Single FO’s ‘seeking more exposure’

Single family offices which previously conducted their business out of the public eye are becoming far more open with their business endeavors, according to ... read more »

Canada’s HNW population set to soar

The number of high-net-worth individuals in Canada is forecast to grow by 9% by the end of 2018, new research suggests. You need to ... read more »


PAM Breakfast Briefing: Investing in a company pre-IPO – a guide for HNWIs and their advisors

Speakers Speakers to be confirmed shortly Please join us for the next Breakfast Briefing, taking place on Thursday November 13, 2014 at The Lambs Club, 132 West … read more »

PAM Awards, February 2 2015, New York

The PAM Awards 2015 will be held at Cipriani 42nd Street, NY on Monday 2 February. The Private Asset Management Awards recognise and reward those who … read more »