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SEC cracks down on rules governing custody of investor assets

Baker McKenzie

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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.

Content is provided for educational and informational purposes only and is not intended and should not be construed as legal advice. This may qualify as "Attorney Advertising" requiring notice in some jurisdictions. Prior results do not guarantee similar outcomes. For more information, please visit: www.bakermckenzie.com/en/client-resource-disclaimer.

Baker McKenzie - Jennifer Martella

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  • Capital Markets
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