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| Recent OCIE examinations highlight importance of adviser adherence to custody ... Lexology (registration) These common deficiencies were identified in approximately one-third of its recent examinations of SEC-registered investment advisers, and include the situations described below. Failure to recognize that the adviser has custody. This may arise in ... See all stories on this topic » |
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| Proposed Minnesota investment adviser legislation - Lexology There is a bill working its way through the Minnesota state legislature that amends chapter 80A of the Minnesota Statutes to, among other things… www.lexology.com/library/detail.aspx?g=25a3c988-c5d3... | ||
| SEC Alert Highlights Common Deficiencies In Compliance With The ... Rule 206(4)-2 under the Investment Advisers Act of 1940 imposes requirements on SEC registered investment advisers who have custody of client funds or ... www.mondaq.com/.../SEC+ALERT+HIGHLIGHTS+COMMO... |
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