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The weekly news source for investment management legal and compliance professionals

News March 13, 2017 Issue

Custody Three Times: SEC Staff Provide Some Rule 206(4)-2 Answers

Few Advisers Act rules are as bedeviling to investment advisers as Rule 206(4)-2, the Custody Rule. In a welcome development, the SEC staff recently provided some clarity in regard to three topics that involve the Rule: standing letters of authorization (SLOAs), first-person transfers, and inadvertent custody.

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