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Strengthening Safeguards for Investor Funds Controlled by Registered Investment Advisors

Strengthening Safeguards for Investor Funds Controlled by Registered Investment Advisors

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Published by Bill George
On May 14, 2009 the U.S. Securities and Exchange Commission proposed rule amendments to strengthen safeguards on investor funds controlled by investment advisers. On September 2, 2009 I submitted a "Public Comment" on the proposed rule amendments. My comment relates to institutional investment advisors uses of their clients' brokerage commissions in bundled undisclosed soft dollar brokerage arrangements with advisors' full-service brokerage (services) providers.
On May 14, 2009 the U.S. Securities and Exchange Commission proposed rule amendments to strengthen safeguards on investor funds controlled by investment advisers. On September 2, 2009 I submitted a "Public Comment" on the proposed rule amendments. My comment relates to institutional investment advisors uses of their clients' brokerage commissions in bundled undisclosed soft dollar brokerage arrangements with advisors' full-service brokerage (services) providers.

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Categories:Business/Law, Finance
Published by: Bill George on Sep 02, 2009
Copyright:Attribution Non-commercial

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