Personal Securities Holdings Reports: Can Account Statements Work?

Can access persons satisfy the initial and annual holdings report requirements in the new Advisers Act code of ethics rule by handing in copies of account statements containing a snapshot of their account holdings? The answer seems to be yes, if youre talking about one account statement with all the access persons holdings. If you […]
Full contents of this article are only available to paid subscribers.

Please note: we are on a new platform and you may need to reset your password to recover your account. Click here for more details.

New to ACA Insight?

Subscribe today and receive a time-limited $200 discount!

Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.