Navigating Risk & Regulations
Learn how to keep your firm in compliance and protect client assets with the latest information on regulatory issues.



Custody: New SEC guidance creates more clarity for advisors
These resources are designed to summarize the SEC Guidance and the Custody Rule and outline concrete steps you can take to review, consider, and solve custody issues.
Read the White Paper About the Custody Rule
View the Supplemental Tool About Standing Money Movement Authority
more information
Educate your firm on the different types of fraud
Use the fraud encyclopedia to learn about common cybercrime trends within the financial industry to help increase your firm's awareness of potential threats.
(1117-71FR)