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Regulation of Custodial Practices Under the Investment Advisers Act of 1940 Rule 206(4)2Investment Adviser Association Investment Adviser Compliance Conference 2014 Crystal City, VA March 67, 2014Robert
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What is regulation of custodial practices?
The regulation of custodial practices refers to rules and guidelines that govern how assets are held and protected by a custodian.
Who is required to file regulation of custodial practices?
Financial institutions and entities that act as custodians are typically required to file regulation of custodial practices.
How to fill out regulation of custodial practices?
Regulation of custodial practices forms are usually filled out with detailed information about the custodian, the assets held, and the procedures for safekeeping.
What is the purpose of regulation of custodial practices?
The purpose of regulation of custodial practices is to ensure that assets held by custodians are safeguarded and managed in a responsible manner.
What information must be reported on regulation of custodial practices?
Information such as the types of assets held, their values, any transactions made, and the security measures in place must be reported on regulation of custodial practices.
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