Regulation of Custodial Practices under the Investment Advisers Act of 1940 is a comprehensive outline summarizing SEC regulatory requirements for investment advisers that have custody of their client's assets (or that want to avoid having custody). The author, Proskauer partner Robert Plaze, is a former Deputy Director of the Division of Investment Management at the SEC.
The publication is a companion to Bob's Regulation of Investment Advisers outline, which has been used for years by investment advisers as a guide to compliance with the Advisers Act. This outline takes a deep dive into one of the most complex areas of adviser regulation and offers insights into many a regulation that affects the daily operations of SEC-registered advisers as well as their custodians, accountants and legal and compliance officers. Like the Regulation of Investment Advisers outline, it will be regularly updated to reflect new developments.
View the Regulation of Custodial Practices Under the Investment Advisers Act Outline
DownloadRegulation Of Custodial Practices Under The Investment Advisers Act Of 1940 Rule 206(4)-2
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.