Custody

Look it as a Christmas gift from the SEC. Two days before the recent holiday, an East Coast adviser discovered an e-mail from the agency's ...

Don't let this one sneak up on you if you're at a registered hedge fund relying onthe custody rule's exemption in exchange for sharing audited ...

Deloitte & Touche LLP: No-Action letter dated August 28, 2006 Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-2 August 28, 2006 RESPONSE OF ...

Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-2(a)(1) American Skandia Life Assurance Corporation May 16, 2005 RESPONSE OF THE OFFICE OF CHIEF ...

The Commission is adopting amendments to the custody rule under the Investment Advisers Act of 1940. The amendments modernize the rule by conforming the rule ...

No-Action Letter under Investment Company Act of 1940 — Section 17(f) and Rule 17f-4 Fixed Income Clearing Corporation March 13, 2003 Response of the Office ...