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9.22 Custodians of Investment Company and Adviser Client Assets

<< Title IX Overview

9.22 Custodians of Investment Company and Adviser Client Assets

 

 


9.22.     Custodians of Investment Company and Adviser Client Assets.  The SEC has been given authority to require custodians holding registered investment company assets or investment adviser client assets to maintain records relating to custody or use of such assets and to require production of such records.  Custodians may include banks – even though they are not subject to SEC jurisdiction. [§929Q]