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@example.comRegister
SEC 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.
Popular articles from this firm
If you would like to learn how Lexology can drive your content marketing strategy forward, please email firstname.lastname@example.org.
Related topic hubs
Senior Legal Counsel
" I am very pleased with the content of the Lexology newsfeeds. They are a centralized way of getting legal related updates from many jurisdictions and a great way to stay informed with a minimal time commitment."