Laws & Regulations第 83 / 110 题
An investment adviser that has custody of client funds or securities is generally required to do which of the following?
a.Commingle client assets with firm assets for efficiency
b.Avoid any independent verification of holdings
c.Follow the custody rule's safeguards, such as using a qualified custodian and providing account statements
d.Take permanent title to client securities
解析
Under the custody rule, an adviser with custody must safeguard client assets by using a qualified custodian, ensuring clients receive account statements, and, in many cases, undergoing a surprise independent verification. Commingling client and firm assets is prohibited. These safeguards protect clients against misappropriation.
法律依据: Investment Advisers Act of 1940免费刷完整 110 道题库 — 无需注册。
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