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The weekly news source for investment management legal and compliance professionals

News February 4, 2019 Issue

Determine Auditor’s Custody Rule Savvy before Engagement

The Custody Rule can be a major headache for advisory firms and their legal counsel. It is complicated, open to interpretation, and the SEC is on the lookout for advisers and accounting firms that violate it. All the more reason, for both advisers and auditors to be knowledgeable and experienced about the Rule before taking steps that may violate its requirements.

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