Investment Advisers: Custody Requirements

Overview

This page is focused on the custodial requirements applicable to SEC-registered investment advisers. The "Find" materials below provide the principal statutory and regulatory requirements, regulatory guidance and enforcement actions. The "Know" materials provide a useful overview of the requirements applicable to advisers and investment companies, respectively. There is a separate Topic Page focused on Registered Investment Companies: Custody Requirements. To see more of the of the Cabinet's materials on adviser and funds, you can go to the Advisers and Funds Topic Page.

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Senior Counsel
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