Peter J. Shea

Peter J. Shea

Katten Muchin Rosenman LLP

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Latest Posts › Investment Advisers Act of 1940

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SEC Risk Alert Identifies Common Adviser Custody Rule Deficiencies

On March 14, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission released a National Exam Program Risk Alert (Risk Alert). The Risk Alert discussed common deficiencies in respect of...more

3/20/2013 - Custody Rule Investment Advisers Act of 1940 Risk Alert SEC

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