April 2013
Summary of certain recent guidance from the Securities and Exchange Commission (the “SEC”) that is applicable to investment advisers and broker dealers, namely: (i) an SEC Risk Alert regarding the Custody Rule applicable to investment advisers; (ii) an SEC Request for Information regarding the standards of care applicable to investment advisers and broker-dealers; and (iii) the SEC’s Examination Priorities for 2013 with respect to investment advisers.
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