Investment Management Operations & Asset Protection12
Investment Advisers Act, FINRA, and related custody and asset-protection obligations applicable to advisers and broker-dealers managing client assets.
Requirements in this framework
- Best Execution: 2025 Standards (SEC Trend)
- Best Execution: Fiduciary Duty (SEC 206)
- Best Execution: Trade Allocation (SEC 206)
- Custody: Comprehensive Compliance (SEC 206(4)-2)
- Custody: Digital Assets (SEC Enforcement)
- Custody: Digital Assets Trend (SEC Trend 2025)
- Custody: Qualified Custodian (SEC 206(4)-2)
- Custody: Surprise Examinations (SEC 206(4)-2)
- Customer Mail Retention (FINRA 2268)
- Cybersecurity: Reg S-P Safeguards (SEC Reg S-P)
- Proxy Voting: RIA Requirements (SEC 206(4)-6)
- Soft Dollars: Section 28(e) (Exchange Act)