Custody Working Group

IAA Committees and Working Groups

Custody Working Group

The Custody Working Group discusses issues arising from the Custody Rule, including inadvertent custody and transactions that do not settle “delivery versus payment” (non-DVP). The Group holds periodic calls, often in conjunction with two other trade groups, to help the IAA advocate for new or clarified guidance. The Group also assists in providing comments to the SEC staff as it develops recommendations to amend the Custody Rule.

 


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IAA Staff Liaison
Laura Grossman
Associate General Counsel



 

Meeting Frequency: Periodic conference calls

 

Online Community

 

IAA Committees and Working Groups

 

We encourage all members to participate in our Committees, Working Groups, and Forums. To join the Custody Working Group or its online community on the IAA Exchange, please contact iaaservices@investmentadviser.org or call (202) 293-4222.

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