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| SEC Finds Fault With Adviser Custody Practices - Corporate ... In a review of recent examinations of investment advisers in which ... (1) Certain investment advisers failed to recognize they had custody of a client's assets. www.mondaq.com/.../SEC+Finds+Fault+with+Adviser+Custod... | ||
| Remarks to the IAA Investment Adviser Compliance Conference 2013 Remarks to the IAA Investment Adviser Compliance Conference 2013. by. Norm Champ, Director, Division of Investment Management. U.S. Securities and ... www.sec.gov/news/speech/2013/spch030813nc.htm |
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