• Service: Tax, U.S. Indirect Tax, Advisory, Risk Consulting, Financial Risk Management
  • Industry: Banking & Capital Markets
  • Type: Publication series
  • Date: 1/7/2010

Regulatory Practice Letter #10-01 

Custody of Funds or Securities of Clients by Investment Advisers – Final Rule
Download Now
PDF files require Adobe Reader to view
The Securities and Exchange Commission (“SEC” or “Commission”) has adopted final rules (“Final Rules”) amending its Rule 206(4)-2 (“Custody Rule”) under the Investment Advisers Act of 1940 that are designed to improve the safekeeping of client assets held by a registered investment adviser