Surprise Custody Examination

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Ashland Partners conducts over 80 annual custody examinations for firms who are deemed to have custody per Rule 206(4)-2 (the “Custody Rule”) of the Investment Advisers Act of 1940 (“Advisers Act”). If you are a trustee on client accounts, a general partner of an unaudited fund, have client log in credentials, provide bill-pay services, or have another qualifying event, Ashland Partners' process is designed to make the custody examination as efficient as possible.

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Surprise Custody Examination

Rule 206(4)-2 (the “Custody Rule”) of the Investment Advisers Act of 1940 (“Advisers Act”), is one of the most important rules designed to protect advisory clients from the misuse or misappropriation of their funds and securities.

 

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