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During his lunch break, Eddie continued reading from the handouts the Smoking Woman gave them earlier:
When an investment advisory firm has physical possession of a client’s assets, including cash, funds, or other types of investment securities, they are said to have custody of client assets. Custody of assets is almost always handled by a bank or trust company, basically because it’s a huge headache due to stringent recordkeeping and minimum net capital requirements.
The Uniform Sec...
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