Regulatory Compliance, Governance and Security:

cash and security positions


May 30, 2009  8:26 PM

SAS 70 Control Objectives for Investment Advisers | Custodial Operations

Posted by: Charles Denyer
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The SEC released a draft of proposed changes regarding “Custody of Funds or Securities of Clients by Investment Advisers” (File No. S7-09-09), calling for more oversight and controls over...


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