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The weekly news source for investment management legal and compliance professionals

News November 13, 2017 Issue

Think You Don’t Have Custody? Think Again

Some advisers may believe they donít have to comply with Rule 206(4)-2, the Custody Rule, because they do not possess client assets. Such a belief could get them in trouble, both with clients and with the SEC. Turns out there are at least five types of custody Ė and only three of them involve asset possession.

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