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.)
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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
:MCB UP Ltd
Copyright © 2001, MCB UP Limited