Statements (16)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:legislation
|
| gptkbp:aimsTo |
protect client assets from misuse
|
| gptkbp:amendedBy |
2003
2009 |
| gptkbp:appliesTo |
investment advisers
|
| gptkbp:codifiedIn |
Rule 206(4)-2 of the Investment Advisers Act of 1940
|
| gptkbp:enforcedBy |
gptkb:U.S._Securities_and_Exchange_Commission
|
| gptkbp:regulates |
custody of client assets
|
| gptkbp:relatedTo |
gptkb:Investment_Advisers_Act_of_1940
gptkb:SEC |
| gptkbp:requires |
client account statements
qualified custodian for client funds annual surprise examination by independent public accountant |
| gptkbp:bfsParent |
gptkb:SEC-registered_investment_advisers
|
| gptkbp:bfsLayer |
7
|
| http://www.w3.org/2000/01/rdf-schema#label |
SEC custody rule
|