Clearing the Air II - a podcast by Ivan Barretto, Megan Campbell, and Collin OBryant

Clearing the Air II

Intro Topic 1 - Solicitors Topic 2 - Net Cap Requirements Topic 3 - Custody, More Custody

SEC Risk Alert - Solicitation https://www.sec.gov/files/OCIE%20Risk%20Alert%20-%20Cash%20Solicitation.pdf

SEC - Custody Gudiance Links SEC No Action Letter - 2/21/17 https://www.sec.gov/divisions/investment/noaction/2017/investment-adviser-association-022117-206-4.htm SEC IM Guidance No. 2017-01 https://www.sec.gov/investment/im-guidance-2017-01.pdf SEC Staff Responses to Questions About the Custody Rule - https://www.sec.gov/divisions/investment/custody_faq_030510.htm

RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/

Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/

Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/

Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/

Further episodes of The RIA Compliance Collective

Further podcasts by Ivan Barretto, Megan Campbell, and Collin O'Bryant

Website of Ivan Barretto, Megan Campbell, and Collin O'Bryant