On Wednesday,May 14, 2009, the Securities and Exchange Commission (the “SEC”) held an open meeting to consider a recommendation from the Division of Investment Management (the “Division”) to propose rules focused on strengthening controls over client assets held by registered investment advisers (“RIAs”) or their affiliates.
Register now for your free, tailored, daily legal newsfeed service.
Questions? Please contact [email protected]
RegisterSEC proposes investment adviser custody rule amendments to enhance safekeeping and oversight of client assets
To view this article you need a PDF viewer such as Adobe Reader.
USA
May 15 2009
Popular articles from this firm
If you would like to learn how Lexology can drive your content marketing strategy forward, please email [email protected].
Related research hubs
Monique Boutet
Senior Corporate Lawyer
Canon Australia Pty Ltd
What our clients say
"I love the service. It’s a terrific time saver, very practical, very relevant, and very up-to-date. The best new legal resource I’ve come across in a long time. And free to boot! Please keep providing it."