Search results with tag "Guidance update 3"

IM Guidance Update - SEC

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IM GUIDANCE UPDATE 3. Endnotes 1 An adviser’s authority to issue instructions to a broker-dealer or a custodian to effect or to settle trades does not constitute “custody.”

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IM Guidance Update - SEC

www.sec.gov

IM GUIDANCE UPDATE 3. Although the fact that a trustee or a third-party manager has management or discretionary investment authority over an access person’s trust or personal account

Update, Guidance, Guidance update, Guidance update 3

IM uidance Update - SEC.gov

www.sec.gov

IM GUIDANCE UPDATE 3 The staff believes that funds and advisers will be better prepared if they consider the measures discussed herein based on their particular ...

Update, Guidance, Guidance update 3

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Guidance Update, GUIDANCE UPDATE 3