We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Lexology Newsfeed
  • Blog
  • Events
  • Popular
  • About
  • Login
  • Register
  • Blog
  • Events
  • Popular
  • About
  • Login
  • Register
  • Newsfeed
  • Navigator
  • Hubs
  • Webinars
  • Store
  • Analytics
  • Insights
  • Track
  • Create
  • My Lexology
  • Newsfeed
  • Navigator
  • Hubs
  • Webinars
  • Store
  • Analytics
  • Insights
  • Track
  • Create
  • My Lexology
Back Forward
  • Save & file
  • View original
  • Forward
  • Share
    • Facebook
    • Twitter
    • Google Plus
    • Linked In
  • Follow
    Please login to follow content.
  • Like

add to folder:

  • My saved (default)
  • Read later
Folders shared with you

Register now for your free, tailored, daily legal newsfeed service.

Questions? Please contact customerservices@lexology.com

Register

SEC cracks down on rules governing custody of investor assets

Baker McKenzie

To view this article you need a PDF viewer such as Adobe Reader. Download Adobe Acrobat Reader

USA May 26 2009

On May 14, 2009, in response to recent major investment scams and alleged Ponzi schemes affecting US markets, the SEC proposed rules to strengthen the controls governing the safekeeping of investor assets.

Baker McKenzie - Jennifer Martella
Back Forward
  • Save & file
  • View original
  • Forward
  • Share
    • Facebook
    • Twitter
    • Google Plus
    • Linked In
  • Follow
    Please login to follow content.
  • Like

add to folder:

  • My saved (default)
  • Read later
Folders shared with you

Filed under

  • USA
  • Capital Markets
  • Baker McKenzie

Tagged with

  • Asset
  • SEC
  • Investor
  • Confidence trick
  • Ponzi scheme

Popular articles from this firm

  1. US - Notice of termination of US-Ecuador bi-lateral investment treaty *
  2. Due Diligence *
  3. İmar Barışı *
  4. Discovery. Ninth Circuit holds that the Federal Arbitration Act does not grant arbitrators the power to compel the production of documents from third parties outside of a hearing. *
  5. North America Tax News and Developments - May 2018 *

If you would like to learn how Lexology can drive your content marketing strategy forward, please email enquiries@lexology.com.

Send to Create
Powered by Lexology

Related topic hubs

  1. SEC
  2. USA
  3. Capital Markets

Related USA articles

  1. Ponzi schemes: a primer on the recent surge in fraudulent schemes *
  2. SEC steps up enforcement; will consider new rules for investment advisers with custody of client assets *
  3. SEC proposes rules to strengthen custody controls of investment advisers *

Related international articles

  1. Is enough being done to prevent the next ponzi? * - South Africa
  2. UCITS V - key areas of impact for asset managers * - United Kingdom
  3. All that glitters: an exploration of the Pyramid Scheme and Ponzi Scheme phenomena and what the law is doing to protect consumers * - South Africa

Lexology Navigator Q&A

Compare jurisdictions:Cartels

  1. USA
  2. Greece
  3. Netherlands
  4. View more
Lori M Berreman
Vice President, General Counsel and Compliance Officer
The MMIC Group
What our clients say

"I LOVE this resource. Absolutely the best and most reliable single source of what’s going on that affects our business. THANKS!!"

Back to Top
  • Terms of use
  • Cookies
  • Disclaimer
  • Privacy policy
  • GDPR Compliance
  • RSS feeds
  • Contact
  • Submissions
  • About
  • Login
  • Register
  • Follow on Twitter
  • Search
Globe Business Media Group

© Copyright 2006 - 2018 Globe Business Media Group