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Custody of Client Assets under Rule 206(4)‐2 of the Investment Advisers Act

BRIAN CARROLL (Attorney, CPA, and special counsel with the U.S. Securities and Exchange Commission District Office in Philadelphia, PA.)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 1 January 2001

Abstract

The author, both an attorney and CPA, explores the complex and perhaps out‐of‐date Advisors Act Rule 206(4)‐2, the Custody Rule. He explores the rule and the obligations and concerns that arise when an investment advisor is deemed to have custody.

Citation

CARROLL, B. (2001), "Custody of Client Assets under Rule 206(4)‐2 of the Investment Advisers Act", Journal of Investment Compliance, Vol. 1 No. 4, pp. 47-51. https://doi.org/10.1108/eb045893

Publisher

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MCB UP Ltd

Copyright © 2001, MCB UP Limited