Scott reviews custody requirements in the order that they are covered in the 2024 Custody Review Checklist, which should help you complete your custody review.  Listen along while you review and complete your Custody Review Checklist. ...

Scott discusses the importance of and, generally, the "how to" of the self-directed Advisory Fee Billing Practices Review.

Scott discusses due diligence generally and then walks through two tools (checklists) to help advisers conduct due diligence on vendors/service providers.

Scott walks through the 2023 Custody Review Checklist and describes constructive custody as it relates to Direct Fee Deduction and Standing Letters of Authorization.

Scott discusses Investment Adviser Representative Continuing Education Requirements including a rundown of states that have adopted of the rule (as of May 2023), the requirements of the Model Rule that the states are either adopting or working ...