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Expert Analysis

Watch Out For Custody And Compliance Rule Sanctions

Law360, New York ( November 22, 2013, 7:55 PM EST) -- The U.S. Securities and Exchange Commission recently announced sanctions against six investment advisory firms that, taken as a whole, highlight two continued areas of focus for the SEC: compliance program deficiencies, and violations of the "custody rule." Firms should expect that these issues will remain a staple of regulator scrutiny....

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