Custody in an Evolving Financial World

Custody of Client Funds and Securities

  • The sometimes-tricky determinations of custody.
  • How apps can trigger custody.
  • Third-party wires, forwarding checks and transfers.
  • The risk of failure to comply with the custody rule.
  • Best practices and controls to avoid unwanted custody.

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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