Elizabeth Spainhour

Elizabeth Spainhour

Brooks Pierce

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Latest Posts › Investment Adviser


SEC Dings Investment Adviser for Custody Violations, Failure to Supervise

Readers of this space – and SEC observers generally – will recall a March 4 risk alert designed to warn investors about the ways U.S. investment advisers had recently been found to have violated the SEC’s asset custody rule....more

5/3/2013 - Custody Custody Rule Investment Adviser SEC Supervision

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