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The SEC Provides New Custody Rule Guidance to Investment Advisers

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Q2 2017 (Originally Published February 24, 2017)
Journal of Investment Compliance

In February 2017, the staff of the Securities and Exchange Commission’s Division of Investment Management issued guidance providing additional clarity on Rule 206(4)-2 under the Investment Advisers Act of 1940:

This article was originally published by Chapman and Cutler LLP on February 24, 2017, and was republished in the 2017 second quarter issue of the Journal of Investment Compliance. The republished article is posted with permission.

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