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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RegisterSEC proposes investment adviser custody rule amendments to enhance safekeeping and oversight of client assets
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USA
May 15 2009
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Senior Legal Counsel
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