SEC Publishes Revisions to Investment Adviser Custody Rule
January 26, 2010
On December 30, 2009, the SEC published its anticipated release amending its investment adviser custody rule. Adopted in response to recent financial scandals involving investment advisers, the Amended Rule becomes effective on March 12, 2010, and includes modifications to audit, reporting, examination, client statement, internal control and compliance requirements. Registered investment advisers and their chief compliance officers must familiarize themselves with the amended rule.
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