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SEC proposes investment adviser custody rule amendments to enhance safekeeping and oversight of client assets

Sidley Austin LLP

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USA May 15 2009

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.

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  • Capital Markets
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