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 customerservices@lexology.com
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 enquiries@lexology.com.
Related topic hubs
Christine I. Mackiw
Vice President, Records Management & Chief Privacy Officer
Sun Life Financial
What our clients say
"Working in a company with international operations I very much appreciate your cross section of coverage."
