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The Custody Rule Revisited | Richey May

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Richey May Advisory provides the full spectrum of transformative solutions for your business. From Technology and Risk Management to Specialty Audit Services and more, Richey May Advisory has the solutions you need to find and focus on your competitive advantage.

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Richey May Advisory

Richey May Advisory provides the full spectrum of transformative solutions for your business. From Technology and Risk Management to Specialty Audit Services and more, Richey May Advisory has the solutions you need to find and focus on your competitive advantage.

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9780 S Meridian Blvd., Suite 500
Englewood, CO 80112
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Richey May Advisory

Richey May Advisory provides the full spectrum of transformative solutions for your business. From Technology and Risk Management to Specialty Audit Services and more, Richey May Advisory has the solutions you need to find and focus on your competitive advantage.

Learn More

Richey May Advisory

Richey May Advisory provides the full spectrum of transformative solutions for your business. From Technology and Risk Management to Specialty Audit Services and more, Richey May Advisory has the solutions you need to find and focus on your competitive advantage.

Learn More

Contact Us

Richey May Headquarters
9780 S Meridian Blvd., Suite 500
Englewood, CO 80112
Directions
303-721-6131
info@richeymay.com
303-721-6232

Question or comments?  Click here to fill out our inquiry form.

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Richey May Headquarters
9780 S Meridian Blvd., Suite 500
Englewood, CO 80112
Directions
303-721-6131
info@richeymay.com
303-721-6232

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The Custody Rule Revisited
Alternative Investment

The Custody Rule Revisited

Articles by: Richey May, Jun 05, 2015

The Custody Rule (Rule 206(4)-2) requires that advisors custody client funds and securities with a qualified custodian. Advisors must notify their clients that they are doing so and identify who the custodian is, and must ensure that the custodian is sending at least quarterly statements to clients. They also need to verify the funds and securities held in custody by having an independent, surprise examination conducted annually by a Public Company Accounting Oversight Board (PCAOB) registered public accounting firm.

 

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